What are the responsibilities and job description for the Director - Compliance position at MOLPUS WOODLANDS GROUP?
Director - Compliance
Position Title: Director - Compliance
Company: The Molpus Woodlands Group, LLC
Industry: Timberland Management
Job Type: Salary
Min Education: Bachelor’s degree required. J.D. preferred.
Min Experience: *5-10 years of compliance experience
Location: Negotiable; Ridgeland, MS
Required Travel: 15%
POSITION SUMMARY:
The Director - Compliance supports the Chief Compliance Officer (CCO) in administering and enhancing the firm's compliance program for an SEC-registered investment adviser managing private investment funds. This role is responsible for independently managing day-to-day compliance activities, conducting risk-based monitoring and testing, supporting regulatory filings and SEC (and other regulatory) examinations and investigations, and providing compliance guidance across the organization.
ESSENTIAL FUNCTIONS:
- Support the administration and ongoing enhancement of the firm's compliance program in accordance with the Investment Advisers Act of 1940 and other applicable regulations.
- Monitor regulatory developments and recommend updates to policies, procedures, and internal controls.
- Conduct risk-based compliance testing and monitoring of advisory activities, trading, valuation, expense allocations, conflicts of interest, marketing, and operational processes.
- Review marketing materials, investor communications, due diligence questionnaires (DDQs), and other external communications for compliance with SEC requirements.
- Assist with the preparation and maintenance of Form ADV, Form PF, and other regulatory filings.
- Support SEC examinations and investigations, regulatory inquiries, investor due diligence requests, and internal audits.
- Monitor compliance with fund governing documents, investment guidelines, side letters, and investor-specific obligations.
- Administer the firm's Code of Ethics, including personal trading, certifications, gifts and entertainment, outside business activities, political contributions, and conflicts of interest.
- Maintain and organize required books and records and oversee the firm's compliance calendar.
- Assist with annual compliance reviews, risk assessments, and development of testing plans.
- Conduct compliance due diligence and ongoing oversight of third-party service providers.
- Provide compliance, guidance and training to company employees.
- Participate in compliance initiatives, process improvements, and special projects as assigned.
EDUCATION, EXPERIENCE AND SKILLS REQUIRED:
- Bachelor’s degree required. J.D. preferred.
- *5–10 years of compliance experience with an SEC-registered investment adviser, private fund manager, or alternative investment firm.
- Experience supporting SEC examinations and investigations, Form ADV preparation, compliance testing, and Code of Ethics administration.
- Familiarity with private fund structures, investor communications, and SEC Marketing Rule requirements is a plus.
Knowledge & Skills
- Strong knowledge of the Investment Advisers Act of 1940 and SEC regulations applicable to private fund advisers.
- Understanding of private fund operations, fiduciary obligations, valuation governance, expense allocations, and conflicts of interest.
- Expertise in analyzing and applying SEC regulations to non-traditional investment structures, with the ability to assess regulatory implications and ensure ongoing compliance.
- Strong analytical, organizational, and problem-solving skills with exceptional attention to detail.
- Excellent written and verbal communication skills.
- Proficiency with Microsoft Office and compliance management platforms, such as My Compliance Office.
Reporting Relationship
Reports directly to the Chief Compliance Officer and collaborates with investment, operations, finance, legal, business development and client relations teams to support a strong culture of compliance and ethical business practices.
The Molpus Woodlands Group, LLC is an equal opportunity employer.