Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Kn[...]

Compliance Consultancy Director Previous Compliance Funds Experience and 1940 Act / NFA / CFTC Knowledge Required

Location : New York City

Are you the right applicant for this opportunity Find out by reading through the role overview below.

Salary : $200 - $220

Our Client, a growing and dynamic regulatory consulting firm based in New York and London, is looking to hire an experienced compliance professional to join their New York Regulatory Consulting team.

Acting as the primary compliance resource for retained client relationships, your focus will be on the SEC and NFA regulatory requirements for investment advisers to private funds and separately managed account clients.

Responsibilities :

• Acting as lead compliance resource for retained client relationships, providing ongoing strategic compliance advice and resolutions to complex questions involving more than one regulator.
• Providing client deliverables in a timely manner, including quarterly monitoring reviews and reports.
• Setting up the compliance infrastructure for clients, including policies and procedures and monitoring programs.
• Registering firms with the SEC and CFTC / NFA.
• Drafting and reviewing annual and quarterly filings including Form ADV, Form PF, CPO-PQR, and CTA-PR.
• Leading SEC mock audits and annual compliance reviews.
• Assisting with annual compliance reviews and regulatory mock audits.
• Performing forensic testing electronic communications, trading, social media, etc.
• Assisting with development and maintenance of technical resources and wider firm initiatives.
• Developing training content and training junior staff.

Minimum Requirements :

The successful candidate must have at least 8 years of US Compliance experience from a similar compliance consultancy, Big 4 / Law firm, or in-house compliance team, including experience in the private fund space (hedge, private equity, or real estate).

You must also have a working knowledge of the Investment Advisers Act of 1940 and regulations relevant to investment advisers, as well as knowledge of the NFA rules and CFTC regulations relevant to investment managers.

This is a fantastic opportunity to join an independent compliance consultancy that has grown extensively and organically over the past two decades and continues to add top compliance talent to their ranks.

If you have an interest in working with clients regulated in multiple jurisdictions and believe that you have the regulatory knowledge and client-facing skills to be a successful Compliance Consultant, please send your details to Gary Collins at gary@symescollins.

com (including a contact number & email). Please note we cannot reply to all applications, so only successful applicants will be contacted (although under no circumstances are your details ever passed on without your specific permission).

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