Constellation Insurance, Inc. · 1 month ago
Director, Fund and Adviser Compliance
Cincinnati, OH
Full-time
Hybrid
Lead/StaffConstellation Insurance, Inc. is seeking a Director, Fund and Adviser Compliance to partner closely with the Chief Compliance Officer. This strategic role involves shaping and leading a high-impact compliance program, driving policy development, overseeing regulatory initiatives, and guiding Board report preparations.
Financial ServicesInsuranceLife InsuranceRetirementWealth Management
Responsibilities
Partner with the CCO to lead and evolve the Fund and Adviser compliance program, ensuring strong internal controls and regulatory adherence
Monitor and document each Fund portfolio's and the Adviser's compliance with investment policies, restrictions, and applicable securities laws; escalate potential issues to the CCO
Identify, investigate, and document cases of potential non-compliance, including root-cause analysis and follow-up actions
Collect and assemble compliance information from sub-advisers, fund accountants, and other service providers
Develop, refine, and document compliance policies, procedures, and testing strategies aligned with SEC, IRS, and industry standards
Oversee and conduct compliance testing; design new tests and procedures in response to emerging risks or regulatory changes
Lead due diligence and compliance reviews of sub-advisers, including planning, coordination, and documentation of visits
Monitor trading activity, best execution, and portfolio diversification limits; analyze findings and prepare communications as needed
Support the Liquidity Risk Management program and serve as a resource on pricing, valuation, and related oversight matters
Review personal securities transactions under the Codes of Ethics; investigate and report potential exceptions
Prepare, coordinate, and present quarterly compliance reports and analytical schedules to the Fund Board of Directors
Assist external auditors by gathering required documents and facilitating responses; actively participate in regulatory exams
Manage special projects and contribute expertise on evolving compliance topics, industry practices, and regulatory expectations
Qualification
Required
Bachelor's degree or significant coursework in a business-related field (finance, accounting, or similar); advanced degrees such as a Master's in Accounting, J.D., or MBA are preferred
Professional credentials--CPA, bar membership, or CFA--are highly valued; Series 6/7, prior securities experience, and/or SIE are strong pluses
Demonstrated analytical strength with the ability to interpret data, identify trends, and translate findings into actionable insights
Exceptional communication skills, with the ability to collaborate effectively across all levels of the organization and present clearly to senior leadership
Strong organizational abilities with a track record of managing multiple priorities, taking initiative, and solving complex problems
Proficiency with spreadsheets and word processing tools, and ability to work both independently and within a highly collaborative team
Ability to travel periodically (approximately three days per quarter)
Preferred
advanced degrees such as a Master's in Accounting, J.D., or MBA are preferred
Series 6/7, prior securities experience, and/or SIE are strong pluses
Benefits
Healthcare coverage: Comprehensive medical, dental, and vision from day one.
Life insurance: Company-paid coverage for you and your loved ones.
401(k) plan: Matching contributions to help secure your financial future.
Family support: Paid parental leave and reimbursement for adoption and surrogacy expenses.
Work-life balance: Flexible time-off policy to recharge and pursue passions.
Dress for your day: Express your style comfortably at work.
Inclusion and Culture: A respectful environment that values unique contributions.
Flexible work options: We offer remote, hybrid, and onsite opportunities with office locations in Cincinnati, OH; New York, NY; Denver, CO; and Nashville, TN.
Well-being focus: Programs to support a healthy balance between work and home life.
Community connections: Build strong relationships through virtual and in-person interactions, with resources for your growth.
Company
Constellation Insurance, Inc.
We are a leading insurance holding company providing insurance and reinsurance solutions through our family of companies.
Founded in 1909
501-1000 employees
Funding
Current Stage
Late StageTotal Funding
$350MKey Investors
AuguStarSM Financial
2025-10-22Debt Financing· $350M
Leadership Team
Lori Dashewich, CPA, CGMA
SVP, Chief Accounting Officer and Controller, Interim CFO
Scott Shepherd
Senior Vice President, Chief Risk Officer, and Head of US M&A and Reinsurance
Recent News
2025-10-23
Reinsurance News
2023-12-26
Company data provided by crunchbase