Compliance & Governance Specialist

Role Overview

Establish internal compliance policies for investment activities, data privacy, API usage and candidate information governance.

Key Responsibilities

• Develop, maintain, and enforce the firm's compliance manual and overarching code of ethics.
• Monitor personal trading, political contributions, and outside business activities of employees.
• Ensure strict adherence to SEC regulations, local financial laws, and global data privacy regulations (GDPR, CCPA).
• Conduct regular compliance training and awareness programs for all staff members.
• Oversee data governance frameworks, focusing on secure API usage and candidate information storage.

Required Qualifications

• 5+ years of regulatory compliance experience specifically within the investment management or financial services industry.
• Deep working knowledge of the Investment Advisers Act of 1940 and related securities laws.
• Experience managing data privacy, cybersecurity compliance, and information governance.
• Strong attention to detail, ethical integrity, and ability to handle confidential information.

Preferred Qualifications & Skills

• JD, LLM, or advanced industry compliance certification (e.g., CSCP, CCEP).
• Experience interfacing directly with regulatory bodies during examinations or audits.