Director, Compliance Advisory - Investments

This role oversees core components of the compliance program for several SEC‑registered investment advisers. The Director will advise senior leaders, guide policy development, support regulatory reviews, and help embed a proactive compliance culture across investment, product, and operational functions.

Client Details

A global investment organization offering a diverse suite of asset management and advisory products. The firm emphasizes strong governance, a forward‑looking risk culture, and disciplined oversight across all investment and operational activities.

Description

• Support the Chief Compliance Officer in designing and managing compliance programs for affiliated registered investment advisers
• Serve as a key advisor to investment, product, legal, distribution, and operations teams on compliance considerations related to new business initiatives and product development
• Help cultivate a strong compliance culture by driving awareness of regulatory expectations and encouraging early incorporation of compliance perspectives
• Draft, review, and enhance policies and procedures aligned with the Investment Advisers Act and other applicable regulations
• Prepare required regulatory filings and documentation
• Oversee periodic compliance risk assessments and contribute to the development of mitigation plans
• Assist with regulatory examinations, inquiries, and related responses
• Analyze complex regulatory or business issues and provide practical, risk‑aligned recommendations
• Manage competing priorities across multiple affiliated business lines with strong project management discipline
• Communicate clearly and confidently with senior leadership, clients, and regulatory bodies

Profile

• Bachelor's degree required; MBA preferred
• At least 15 years of compliance experience within the asset management industry, with strong expertise in the Investment Advisers Act
• Experience with alternatives or complex investment strategies is advantageous
• Strong communication skills with the ability to engage senior executives and regulators
• Ability to independently evaluate regulatory questions, propose practical solutions, and drive execution
• Strong organizational, analytical, and project‑management capabilities

Job Offer

• Competitive annual salary ranging from $127,000 to $210,000 (USD).
• Leadership role with significant influence over investment adviser compliance strategy
• Opportunity to shape regulatory preparedness and strengthen cross‑functional governance

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.