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Operations and Compliance Director

We are seeking an Operations and Compliance Director. This individual would directly support the COO in the design, maintenance, and improvement of the firm’s operations and compliance systems. Ideal candidates would aspire to become operations and / or compliance leaders in the asset management industry. Your mission would be to help build a best in class compliance and operations program with the firm’s COO and eventually take over certain responsibilities and oversight of some of the firm’s. 

What the job entails

This role is an entry-level position that combines both hard quantitative skills as well as soft skills. Core responsibilities include:

  • Weekly, monthly, and quarterly execution of compliance-related tasks and filings
  • Process design, improvement, and implementation across all aspects of the business
  • Fielding data requests and ongoing data querying needs as required
  • Website editing and management as needed
  • Forensic testing of select processes as needed
  • Dashboard creation and maintenance
  • Support with Board of Trustee meetings, to include board book assembly, taking minutes, and presentation
  • Legal document editing and preparation with COO support
  • Development of ongoing operations manual for key processes
  • Identification of potential processes for offshoring/outsourcing as appropriate

As a small firm, all employees do their fair share of administrative tasks, and this position is no exception. Particularly for the first year, a successful candidate can expect to spend a significant amount of time learning how the firm operates and understanding the processes currently in effect.

What a successful candidate will possess

Hard skills include:

  • Fluent in MS Excel, G Suite, Email workflow management (required)
  • Working knowledge of Adobe for quarterly board book assembly and preparation (required)
  • Ability to aggregate and analyze data across a variety of mediums (e.g., MS Power Query, SQL)
  • Comfort with WordPress and API / datafeeds for website maintenance (trainable)
  • Comfort with SmartSheet – the firm’s platform for compliance processes and management (trainable)

Soft skills include:

  • Attention to detail and ability to spot check one’s own work from different angles prior to submission
  • Task management and ability to juggle several workstreams across multiple stakeholders
  • Intellectual curiosity and a self-starter
  • Process design. Understanding the desired endstate, then engineering a proposed process to get there.
  • Confidence to “manage up” and engage team members for help and feedback
  • Comfort with administrative/routine tasks in addition to daily efforts



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