Senior Associate

New York, New York • $75,000-$150,000

About the Company:

Our client is a growing regulatory consulting firm with offices in NY and internationally looking to hire a Senior Associate to join their Regulatory Consulting team. This role will focus on the SEC and NFA regulatory requirements for investment advisors to private funds and managed account clients.

 

Responsibilities:

  • Acting as the primary compliance resource for retained client relationships
  • Providing strategic compliance advice and resolutions to complex questions involving more than one regulator
  • Leading compliance projects and quarterly monitoring reviews
  • Providing client deliverables in a timely manner, including quarterly monitoring 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 submitting annual and quarterly filings
  • Performing forensic testing – electronic communications, trading, social media, etc.

 

Requirements:

  • Bachelor’s degree or higher
  • 5+ years’ experience within a compliance consultancy or asset manager focused on the private fund space
  • Working knowledge of the NFA rules and CFTC regulations relevant to investment managers
  • Skills in managing clients

 

 

 

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