Head of Global Compliance

This role is responsible for overseeing compliance across asset management and advisory activities outside the firm’s home market, including private funds, hedge fund strategies, managed accounts, and global trading activity. The Global Head of Compliance will own global trading compliance, regulatory reporting, policy development, monitoring and testing programs, and cross-border coordination of compliance standards. The role includes direct management of a small New York–based compliance team and close collaboration with international operations and senior management to foster a strong global compliance culture. Role highlights: Senior leadership role building and overseeing a global compliance framework Multi-jurisdictional scope across U.S., U.K., and offshore fund regimes Responsibility for global trading compliance, including pre- and post-trade controls Exposure to private funds, hedge fund strategies, and managed accounts Direct interaction with senior legal, investment, and operational leadership Opportunity to shape compliance culture in a growing international platform Key responsibilities Design, maintain, and enhance a global compliance program aligned with U.S., U.K., and offshore regulatory frameworks Serve as primary compliance authority for the firm’s asset management and advisory activities outside its home jurisdiction Oversee regulatory filings, disclosures, and reporting obligations across applicable jurisdictions Monitor global regulatory developments and advise senior management on impact and implementation Own global trading compliance, including pre-trade and post-trade monitoring and surveillance Partner with investment and trading teams to embed compliance controls into daily workflows Develop, implement, and periodically review compliance policies and procedures to ensure consistency and best practices Oversee compliance for private funds and investor-related regulatory obligations Design and execute risk-based compliance monitoring and testing programs Lead incident management, breach analysis, remediation, and reporting Manage, mentor, and develop New York–based compliance staff Coordinate cross-border compliance standards with international operations and leadership Qualifications 12+ years of progressive compliance experience within asset management, hedge funds or private funds Deep knowledge of U.S. investment adviser regulations and global compliance frameworks Demonstrated experience leading multi-jurisdictional compliance programs for investment advisory businesses Hands-on experience with trading compliance, surveillance, and monitoring systems Familiarity with compliance technology and regulatory reporting tools Experience working in international or cross-border investment environments preferred Advanced degree (JD, MBA, or similar) a plus

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