Director Advisor and Fund Compliance

 Director, Advisor & Fund Compliance

• Serve as senior lead on-site investment manager and service provider.  Perform due diligence visits to assess the adequacy and effectiveness of their compliance programs and that supports Funds Management’s selection and ongoing evaluation of these providers.
  
  


• Assess the adequacy of services provider's compliance policies and procedures and summarize for management and Board of Trustees.
  
  


• Lead annual and ongoing review of the funds’ and adviser’s compliance programs, document results and recommend enhancements
  
  


• Lead ongoing risk assessments of the adviser’s and fund's compliance policies and procedures
  
  


• Design and lead risked-based testing programs for the adviser’s and fund's compliance policies and procedures to ensure they are effectively implemented and document results.
  
  


• Review and approve investment restrictions and guidelines coded through the Charles River post-trade surveillance system. Support compliance team by, researching and resolving exceptions with business partners and service providers.
  
  


• Direct administration of the adviser’s and fund's code of ethics
  
  


• Oversee the preparation of quarterly and annual compliance reports to the Funds Board of Trustees
  
  


• Participate periodically in internal and Funds Board meetings to present compliance reports
  
  


• Develop and implement a training program that advances the firm's culture of compliance.
  
  


• Oversee regulatory or internal examinations and inquiries.
  
  


• Establish and maintain effective relationships with business partners and service providers.
  
  


• Support business initiatives by participating in compliance-related meetings and developing compliance policies and procedures
  
  


• Prepare management reports providing a summary of key metrics, issues, and resolutions.
  
  


• Stay abreast of evolving investment advisory regulation, assess the potential impact, develop policies and implement practices that comply.
  
  


• Carry out duties in compliance with all state and federal regulations and guidelines.  Comply with all company and site policies and procedures
  
  


• Remain current in profession and industry trends.
  
  


• Successfully complete regulatory and job training requirements.

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Starpoint is an Equal Opportunity Employer.

• Bachelor’s Degree or equivalent work experience
  
  


• 9+ years of appropriate experience including 3+ years of managerial, supervisory, and/or demonstrated leadership experience; or 13+ years of equivalent work experience.
  
  


• Knowledge relating to securities, mutual funds, variable annuities, life insurance, and investment advisory regulations