Director of Compliance

  • Location
    New York, New York
  • Category
    Legal Support Personnel - Compliance
  • Contract Type
    Direct Hire
  • Reference

Director of Compliance 

A non-profit's retirement fund is looking for a Director of Compliance to run their compliance program.  Seeking an experienced compliance professional with a history of working with pension funds and retirement benefits to run and build out their current compliance framework. At least 8 years of working in regulatory compliance with a focus on ERISA and retirement/pension funds is required. Position will report to the General Counsel and will not have any direct reports, however the department may expand in the future. Hybrid remote and in office work schedule offered.


· Develop and recommend enhancements to newly established compliance framework designed to identify, prevent, detect and mitigate violations of applicable law or Fund’s policies

· Responsible for implementing and maintaining compliance monitoring, updating policies & procedures, reporting, testing, and applying regulatory guidance as well as industry best practices

· Responsible for providing ongoing compliance support and advice for the day-to-day activities of the Fund’s operations as well as designing and implementing new strategies and initiatives.

· Work with the business to resolve significant breaches and violations of such policies, and external reporting when required

· Promote, protect, and set the tone to reflect the Fund’s reputation for ethics, integrity, and honesty in all dealings

· Assist the management team in dealing with regulators, auditors, and operations regarding regulatory exams and inquiries.

· Provide compliance support for new product initiatives

· Integrate industry benchmarking and best practices through ongoing research, education, and industry affiliations

· Collaborate with the legal team to analyze changes to regulatory requirements and proactively manage regulatory developments and changes

· Identify, develop, organize, and deliver necessary compliance related training, and reinforce all compliance-related communications

· Collaborate with the ERM team and operations in general to address necessary compliance related changes


· Bachelor's degree. Advanced degree a plus

· Strong Leadership qualities

· Eight years plus of relevant retirement/pension compliance experience, including experience with developing, implementing, and maintaining written policies and procedures governing retirement/pension plan compliance activities

· Expertise and knowledge of retirement/pension plan regulations, ERISA, and operations

· Ability to interpret rules and analyze complex issues

· Strategic mindset and an ability to contribute to the direction of the business and the development of a compliance structure

· Communication, analytical, and project management skills

· Strong relationship management and leadership skills are desired including experience and ability in dealing with senior management

· Experience in leading, inspiring, and developing a team in support of the business initiatives


Highly competitive compensation package and work life balance offered

Equal Opportunity Employer/Veterans/Disabled

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The Company will consider qualified applicants with arrest and conviction records

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