Director of Compliance

We are currently seeking an Director of Compliance to fill a vacant position with one of our Client, located in Westlake Village, CA. If you possess the necessary qualifications and are interested in pursuing this opportunity, we kindly request that you provide us with your most up-to-date resume. We appreciate your consideration and look forward to potentially working with you. Job Description Will support the Chief Compliance Officer in managing the day-to-day operations of three Compliance Programs - two pursuant to U.S. regulation, Rule 2064-7 of the Investment Advisers Act of 1940 and Rule 38a-1 of the Investment Company Act of 1940, and one pursuant to Canadian regulation National Instrument 31-103.Assist in the development, implementation, and maintenance of the investment adviser and investment company compliance programs, including policies and procedures.Review and maintain the compliance manuals and codes of ethics for all programs.Administration of compliance monitoring and onboarding functions.Assist with the daily trade review and surveillance.Review brokerage activity for consistency with regulatory guidelines.Administer and monitor employee personal trading, attestations, and certifications using compliance technology platform My Compliance Office.Review and approve marketing and other public communications of the investment adviser.Prepare and file regulatory filings, including Forms ADV, CRS, state notice filings, Forms 13H and 13F.Prepare and file employee registrations and terminations U-4, U-5 on IARDCRD systems.Maintain and update the Firms compliance calendar.Assist in management of internal and external regulatory examinations, audits, inquiries, and similar reviews.Work with compliance and external legal counsel to adapt to regulatory developments.Prepare the advisers Annual Compliance Review.Create and maintain compliance risks and controls matrix for the Adviser and the Funds.Collaborate with the CCO, CIO, and IT partners to maintain and test the Cybersecurity and Disaster Recovery Business Continuity Programs.Maintain an effective compliance training program for the adviser, including promoting heightened awareness of compliance requirements, understanding of new and existing compliance issues and related policies and procedures, and continuing education.Support the CCOs with respect to the Firms Due Diligence Program and Compli Skills Required Bachelors degree.4+years experience working in investment advisory, asset management or a financial services company.Proficiency in Outlook, Word, Excel and Salesforce.

Created: 2026-03-04