Role OverviewThis is an excellent opportunity for someone with early to mid-level compliance experience who enjoys working directly with clients, interpreting regulatory requirements, and delivering practical solutions. You will help investment managers navigate an evolving regulatory landscape, providing day-to-day compliance support across a broad range of matters.
What You Will Do
Support investment management clients with a broad range of day-to-day compliance matters, including personal account dealing, restricted lists, electronic communications reviews, and trade surveillance. Prepare and submit regulatory filings, including Form ADV and Form 13 filings, ensuring accuracy and timely completion.
Why It Might Be a Fit
If you are detail-oriented, commercially minded, and motivated to build a long-term career in compliance consulting, this role offers excellent scope for growth and development.
Requirements
- 1 to 3 years of relevant compliance experience, ideally gained within a registered investment adviser, law firm, bank, alternative investment firm, or similar environment.
- Knowledge of CFTC, NFA, client requirements, and SEC examination practices would be highly regarded.
- Experience using MyComplianceOffice and Global Relay would be an advantage.
- Detail-oriented, with a strong focus on quality and accuracy.
- Resourceful problem-solver with strong follow-up skills.
- Confident building relationships with clients, colleagues, and external contacts.
Benefits
- Salary Range: US$ 90,000 - 120,000
- Please note we are open to the following locations: New York, Los Angeles, Charlotte and Chicago.
]]>