Head of Investment Advisory Compliance

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 17 Jan 19

Applicant should be a seasoned compliance professional with at least 10 years of compliance experience within an asset management organization. Individual should have at least 5 years providing direct supervision. The applicant should be able provide oversight in the following areas and also strategic direction.

Primary Oversight Responsibilities:

  • Code of Ethics and Personal Trading Compliance program
    • Preclearance, Post Trade Monitoring and  Employee Certifications
    • Outside Business Activity reviews
  • Other Employee Conduct & Regulatory policies
  • Gifts & Entertainment
  • Pay to Play
  • Lobbyist Registration & Reporting
  • AML
  • Anti-Bribery/Anti-Corruption, including FCPA
  • SEC and other regulatory filings (13f, 13g, Form S, ADV offer, etc.)
  • Annual Compliance Training
  • Marketing Material Review
    • Ensure compliance with internal guidelines, investment advisor rules, GIPS standards, and FINRA where applicable
  • FINRA rules for our Office of Supervisory Jurisdiction (OSJ)



Secondary Responsibilities:

  • Work with other compliance and legal professionals to keep current our Compliance policies and evolve or create new policies based on new business or regulatory changes.
  • Present at client and prospective due diligence meetings.


Qualifications &Experience:

  • Bachelor’s degree
  • Minimum of 10 years compliance experience with at least 5 years’ experience working with an investment management firm
  • Supervisory experience is required and strong people management skills.
  • Understanding of Investment Advisor’s Act of 1940
  • Knowledge of Global Investment Performance Standards (GIPS)



  • Excellent written and oral communication skills with ability to interface with and influence senior management as well as other peers and colleagues.
  • Established ability to multi-task, prioritize and organize time effectively in a fast-pace environment with changing deadlines.
  • Demonstrates strong analytical skills and attention to detail consistently.
  • Strong ability to provide performance feedback and articulate actionable advice to help develop team.
  • Strong ability to develop effective working relationships with investment staff and make articulate recommendations to department managers regarding potential solutions to issues.