Role OverviewStable Rock is seeking a Manager, Regulatory & Compliance, to support delivery of regulatory consulting services to investment advisers, registered investment companies, and private fund managers. The Manager will oversee the execution of compliance monitoring programs, assist clients in maintaining regulatory compliance, and supervise Senior Associates responsible for compliance testing and operational monitoring.
What You Will Do
Manage day-to-day compliance monitoring activities, review outputs from compliance testing programs, assist clients with regulatory filings, support annual compliance program reviews, and assist with mock regulatory examinations.
Why It Might Be a Fit
The ideal candidate will have 4+ years of investment adviser compliance experience, a strong analytical and problem-solving skills, and the ability to manage multiple tasks and deadlines in a consulting environment.
Requirements
- Bachelor's degree in Finance, Accounting, Business Administration, Economics, or a related field
- 4+ years of investment adviser compliance experience
- Professional certifications such as Juris Doctor (J.D.), Investment Adviser Certified Compliance Professional (IACCP) or FINRA securities licenses (Series 7, 24, 63, or 65)
- Working knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements
- Experience supporting compliance monitoring programs for registered investment advisers
Benefits
- Medical, Dental, and Vision insurance coverage
- Health Savings Account (HSA) and Flexible Spending Account (FSA) options
- 401(k) retirement savings plan
- Unlimited paid time off policy
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