Head of Asset Management Compliance

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Job Identification Number: 70

Location: New York, NY

Job Type: Direct Hire

Job Category: Financial Services

Qualified candidates, please attach resume when applying.


Investment management firm is seeking a Head of Asset Management Compliance in their NYC office. The ideal candidate should be a strong senior compliance individual with 15+ years of diverse senior level compliance experience from asset management. This candidate should also have 10+ years managing people and process with a proven history of oversight guiding strategic direction.

Primary Responsibilities:

The Head of Asset Management Compliance will report directly into the CCO and will have broad responsibilities overseeing Code of Ethics and Personal Trading Compliance, Conflicts of Interest,  Employee Conduct & Regulatory Policy, SEC / regulatory filings, Compliance Training, and Marketing / Advertising compliance. This role will also oversee all compliance training, conduct risk assessments, and new product assessments. You will act as point of contact for conflicts of interest and outside business activities and assess policies and procedures to guarantee consistency and manage industry and regulatory events.

Qualifications and Requirements

Qualifications candidates will have over 15 years total experience with 10+ years of experience working with an investment management firm in a supervisory / leadership role. You should have a strong understanding of Investment Advisor’s Act of 1940 with knowledge of GIPS. You should also possess a 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.


Qualified candidates should send resumes to ws@rockwood-search.com. Please put your Name and “ Head of Asset Management Compliance - NYC  “ in the subject line and attach your resume as a word doc or PDF. Also include contact information, salary requirements, and any applicable information in the body of the email.