Associate Director, Compliance
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Overview
Job Description
About Cresset
Cresset is a firm built by clients, for clients. As an independent, award-winning multi-family office and private investment firm, we are reimagining the way wealth is experienced. Our purpose is to help ensure that both wealth and life are fully optimized-integrated, intentional, and aligned with each client's vision of success.
We provide access to the caliber of talent, ideas, and investment opportunities typically available to the largest single-family offices and institutions. Our approach is personalized, entrepreneurial, and client-first.
Proudly owned by our clients and employees, Cresset was built to endure. We are creating a 100+ year firm-one focused on delivering an exceptional experience, not only for the families we serve but for the team that serves them. Recognized by Barron's and Forbes among the nation's top RIA firms, and as one of the industry's best places to work,* Cresset is guided by long-term relationships, shared success, and a belief that wealth should serve a life well lived.
Job Description
The Associate Director, Compliance, will support ongoing compliance efforts, focusing primarily on compliance monitoring and testing. Additionally, this role involves conducting branch exams, employee training, and performing other general compliance duties to meet regulatory requirements. This is a great opportunity for a person with experience at an RIA, securities regulator, or other related financial institution. The Candidate should be a proactive, resourceful, self-starter with a roll-up-your-sleeves mentality, who is extremely organized, detail-oriented, and precise, while remaining flexible to changing priorities.
Key Responsibilities
- Conduct compliance testing and branch exams to ensure adherence to firm policies, the Investment Advisers Act of 1940, SEC guidelines, and industry regulations.
- Monitor supervised/access persons activities, trading activities and transactions to identify potential compliance issues and anomalies.
- Create and maintain dashboards and reports to track compliance metrics.
- Assist in the automation of data collection and reporting processes to improve efficiency and accuracy.
- Present compliance monitoring and testing observations to senior management, ensuring that key insights and recommendations are effectively communicated to support strategic decision-making.
- Collaborate with compliance officers to develop data-driven insights and recommendations.
- Assist in developing, implementing, and maintaining compliance training for the firm.
- Be an integral part of the compliance team, assisting with various aspects of compliance programs, including risk assessments, policy and procedure development, Annual Review, regulatory filings, and the ADV.
- Perform or assist with special projects.
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