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.
- 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.
- 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