Job Description

• Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives with little input from senior team members.
• Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
• Assist and oversee junior team members in the performance of compliance functions, such as personal trading review, email review, the monitoring of firm trading activities and maintaining restricted lists.
• Perform reviews needed to complete an Annual Review of policies and procedures as required under the Advisers Act. Oversee reviews conducted by other team members.
• Lead client calls and ensure call agendas and work product are provided in a timely manner.
• Review drafts of required US regulatory filings.
• Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act.
• Review drafts of client policies and procedures.
• Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
• Mentor new team members.
• Perform other compliance-related responsibilities and special projects as needed.

Qualifications

• Bachelor's degree

• 6 to 8 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred.

• Working knowledge of the IA Act of 1940 and the ICA of 1940

• Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.

• Knowledge of CFTC / NFA as well as FINRA requirements is a plus.

Additional Information

Include in Additional Info:

Salary based on experience and location ($120,000-$150,000) and full benefits package offered.

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