Director, Compliance

Garda is looking to hire an experienced Director, Compliance in its Wayzata, Minnesota Office to support its global compliance program. This position is not eligible for remote/hybrid work arrangements.

Position Responsibilities:

• Manage reviews of marketing material and offer direct support and guidance to Investor Relations team.
• Display an understanding of applicable requirements within the SEC’s new marketing rule and apply such knowledge to reviewing materials and disclaimers.
• Manage employee reporting regarding code of ethics, personal account trading and holdings, gifts and entertainment, social media use, and other applicable policies maintained in accordance with SEC, CFTC or applicable foreign regulatory requirements.
• Have strong working knowledge of the regulatory framework and requirements for registered investment advisers and keep abreast of changes to the regulatory environment and new or changing requirements.
• Perform analysis, preparation and submission of global regulatory and compliance filing requirements (e.g., Form ADV, Form PF/PQR, EU Short Selling, AIFMD, MiFID II).
• Conduct trading and market related surveillance, promptly investigate issues related to the same.
• Assist with regulatory examinations, inquiries, and other data requests.
• Advise leadership and business management function heads on issues concerning compliance and applicable controls.
• Other special projects as necessary.

Qualifications and Desired Skills:

• A minimum of 7 years of work experience in a compliance function within an SEC, FINRA or CFTC-regulated firm or relevant related experience with a consulting firm (experience on trading desk may be considered in lieu of compliance experience).
• Experience with both US and non-US marketing guidance.
• Experience with compliance monitoring and reporting systems (e.g. ComplySci, Global Relay, etc.)
• Four-year college degree; accounting or finance emphasis (preferred).
• Proficiency in Excel, Access and/or SQL (preferred).