Job Description
- Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives with little input from senior team members.
- Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
- Assist and oversee junior team members in the performance of compliance functions, such as personal trading review, email review, the monitoring of firm trading activities and maintaining restricted lists.
- Perform reviews needed to complete an Annual Review of policies and procedures as required under the Advisers Act. Oversee reviews conducted by other team members.
- Lead client calls and ensure call agendas and work product are provided in a timely manner.
- Review drafts of required US regulatory filings.
- Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act.
- Review drafts of client policies and procedures.
- Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
- Mentor new team members.
- Perform other compliance-related responsibilities and special projects as needed.
Qualifications
- Bachelor's degree
- 6 to 8 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred.
- Working knowledge of the IA Act of 1940 and the ICA of 1940
- Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.
- Knowledge of CFTC / NFA as well as FINRA requirements is a plus.
Additional Information
Include in Additional Info :
Salary based on experience and location ($120,000-$150,000) and full benefits package offered.
LI-Hybrid
Manager- Compliance (Alternative Assets)
IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial contro...
Manager- Compliance (Alternative Assets)
IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial contro...
Senior Associate- Compliance (Alternative Assets)
This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing Reg...
Manager- Compliance (Alternative Assets)
Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives with little input from senior team members. Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other appli...
Senior Associate- Compliance (Alternative Assets)
This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing Regulat...
Senior Associate- Compliance (Alternative Assets)
This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing Regulat...
Program Manager
The UCSF Program Management Office (PMO) seeks an experienced Organizational Consultant to manage a significant organizational change project for the Flexible Work project. The UCSF Program Management Office (PMO) is an internal business advisory unit of skilled professionals who provide consulting ...
Backbook Operations Process Manager
A company is looking for an Operations Risk Manager to lead backbook operations and process improvements. ...
Retail Assistant Store Manager
DXL Group, the largest specialty retailer of men's Big +Tall apparel, is looking for a Retail Assistant Store Manager who is committed to building long term relationships with our guests by providing an experience that is unmatched by other retailers. We are looking for a self-driven and results...
Assistant Store Manager - 24H300
As an Assistant Store Manager, you will be the first face of the brand for growing families. Assist the Store Manager in building and retaining a successful team by participating in recruiting, hiring, training, and development of store team. Partner with Store Manager to plan and execute merchandis...