Director of Compliance
Company: Infinity Consulting
Posted on: January 28, 2023
Job Description - Director of Compliance
This role will support the development of. compliance program
including the development, administration, implementation, and
maintenance of compliance policies and procedures designed to
prevent, detect, and correct potential violations of applicable
- Lead implementation of compliance and operations project plans
under the direction of management.
- Assist with the implementation of the compliance program within
a global framework.
- Assist with designing and implementing transition plans for
affiliated registrants and business units.
- Oversight and administration of all regulatory filings
processing, including but not limited to Form ADV, 13F, 13G, 13H,
Form BE-13, Form BE-15, and Form BE-605.
- Responsible for Code of Ethics policies and procedures
compliance administration as required by the Investment Adviser Act
of 1940 (Rule 204A-1) and Investment Company Act of 1940 (Rule
- Onboard the ACA Compliance Alpha compliance system modules and
integrate personal securities transaction reviews, code of ethics
attestations, and manual compliance content updates.
- Review employee account statements
- Electronic communication surveillance.
- Assist with establishing and maintaining broker-feeds related
to employee personal securities trading accounts through ACA
- Assist with the oversight of transitioning legacy compliance
books and records from systems identified to retire from use.
- Assist with the administration of all compliance audits and
enterprise audits, including preparation, coordination of all
information gathering between business units during the audit/exam,
and remediation actions.
- Assist with regulatory and legal research projects.
- Assist with compliance testing and reviews, transactional
testing, risk assessments, and reporting on a focused and random
- Contribute to compliance meetings with business unit
- Communicate and monitor regulatory change management.
- Manage new and existing compliance vendor due diligence
process, ensuring start-to-finish completion of the internal
due-diligence process as needed.
- Implement new compliance system onboarding projects as
- Performs QA continuous monitoring of regulatory compliance
through the data-driven compliance reporting processes
- Assist with preparing reports to management, including
detailing observations and recommendations for corrections of
- Participate with Business Unit Managers regarding compliance
program controls strengths, results, and implementation of
- Work with business units to accomplish remediation, appropriate
training, and track issues in enterprise GRC System(s).
- Participates in the continual review and improvement of risk
control oversight programs
- Coordinates with team members his/her ideas and recommendations
for enhancement of areas that cover all regulatory risks
- Monitor GIPS compliance verification procedures and
- Coordinate custody audits
- Support efforts to maintain compliance-related business
systems, data management, and data integrity, including but not
limited to; i) performance and composite data compliance, ii) trade
reconciliation, iii) performance distribution, iv) IPS status, v)
regulatory disclosure delivery, vi) books and records, vii)
monitoring securities definitions and reorganizations, and viii)
other relevant business data.
- Other duties as assigned
- 10 years working experience in compliance, operations, trust,
banking, internal audit, and regulatory compliance
- Previous compliance, legal or operational experience in a large
financial services organization is preferred.
- Bachelor's degree in business or related field, or equivalent
education and experience
- Relevant Compliance Certifications Desirable
- CFA, JD or legal and regulatory experience helpful
Knowledge, Skills, and Abilities
- Ability to communicate clearly and effectively in a written and
- Extensive knowledge of US investment advisers and investment
- Solid understanding of the Investment Company Act of 1940,
Investment Advisers Act of 1940, the Securities Exchange Act of
1934, the Securities Act of 1933, and other US and foreign
- Highly motivated self-starter with a willingness to "roll up
your sleeves" and identify opportunities for enhancement.
- Team leader and consensus builder with demonstrated
self-awareness, cultural skills, and sensitivities to work
effectively in a global organization.
- Ability to balance regulatory and policy standards along with
practical business perspective.
- Strong attention to detail, analytical and issue-spotting
- Exceptional organizational skills: the ability to effectively
prioritize tasks, follow up, produce consistently accurate work,
and meet strict deadlines
- Proficient with all Microsoft Suite applications (Office 365,
Outlook, Excel, Word, etc.)
Keywords: Infinity Consulting, Miami , Director of Compliance, Executive , Miami, Florida
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