Director - Compliance (Agility)

The Agility Compliance Officer supports the investment advisory business, which provides Outsourced CIO services to a select group of endowments, foundations, family offices, and corporations since inception in 2007. Led by six partners with over 150 years of collective experience, the Agility team works closely with a limited number of clients to develop and execute customized investment solutions. This role will be responsible for administering the Agility Business’ compliance function including timely and accurate regulatory reporting, recordkeeping, supervising compliance audits, and ongoing assessment of conflicts of interest.

Responsibilities include, but are not limited to:

• Day-to-day responsibility for management and ongoing evolution of Agility’s compliance programs, under the general supervision of the Global Chief Compliance Officer
• Reporting to an Executive Officer of Agility as well as to the Global Chief Compliance Officer ensuring direct partnership with Agility management
• Identify risks and conflicts of interest related to the Agility’s business model, work with internal groups to assess risks and conflicts and develop related procedures and controls to mitigate them
• Review and approve marketing and client communications to ensure they meet regulatory requirements (generally performed daily)
• Manage and coordinate preparation of adviser-related regulatory filings (e.g., Form ADV, Form PF, Section 13 filings, NFA CTA-PR)
• Establish and review daily, monthly and quarterly investment compliance reports
• Act as compliance liaison to several internal committees
• Perform initial and ongoing anti-money laundering reviews
• Review important areas of compliance such as allocation of investment opportunities, performance dispersion across client accounts, and relevant investment guidelines
• Work closely with Agility’s portfolio managers as well as middle and back office operations functions to address, from a compliance perspective, operational issues related to management of multiple accounts
• Assist in drafting and evaluating policies and procedures with respect to the business and asset management as a whole
• Manage and coordinate compliance reviews conducted by third parties and responses to findings, as applicable
• Participate in the day-to-day administration of the Agility’s advisory compliance program by developing and maintaining an inventory of rules (“Investment Guidelines”) stemming from Investment Company Act (’40 Act), Investment Advisers Act, CFTC and IRS regulations as well as the requirements of the prospectus, SAI and policies established for registered products
• Conduct periodic and annual employee training
• Other compliance projects or tasks as needed

Desired Skills and Background:

• Bachelor degree
• 5-10 years of compliance, regulatory risk, or operations experience with an investment advisory firm
• Understanding of ’40 Act, Investment Advisers Act and CFTC compliance requirements
• Preferred experience with multiple security types and products, such as equity, fixed income and alternative investments, such as swaps, futures, forwards, options and structured products
• Intuitive sense of honesty and highest ethical standards
• Strong experience with spreadsheets is preferred, including knowledge of utilizing advanced formulas
• Proficiency with Eze Castle Order Management System, Bloomberg and MS Office is preferred and ability to learn new systems quickly
• Strong analytical and problem-solving skills with attention to detail and ability to make and implement decisions
• Must be deadline-oriented
• Must be a team player and function well in a team environment; this role requires sharing ideas, knowledge and supporting the goals of the team

Annual Salary Range: $140 to $160K

Individual will be eligible for an annual discretionary bonus, and participation in firm’s health insurance plans including medical, dental, and vision coverage, and participation in the Firm's 401k plan. Individual will also be eligible for paid time off including vacation days, sick days, and parental leave and any additional benefits required by applicable federal, state or local law.

Agility Description:

Agility is an award-winning Outsourced Chief Investment Officer providing investment management services to endowments, foundations, families and other institutional investors.  The firm invests in strategies across public markets (equities and fixed income), real assets, absolute return, and private capital and manages approximately $15.0 billion as of September 30, 2021.  Agility is headquartered in Denver with additional offices in New York and Austin.  For more information on Agility, please visit: https://www.agilitycio.com/.