Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required
Ref: 4015G3
$200K - $220K + Bonus + Benefits
New York City
Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory Consulting team. Acting as the primary compliance resource for retained client relationships, your focus will be on the SEC and NFA regulatory requirements for investment advisers to private funds and separately managed account clients.
Reporting to the MD of the New York Office whilst also partnering with UK team members for work based out of the Group’s London office, responsibilities will include:
Acting as lead compliance resource for retained client relationships, providing ongoing strategic compliance advice and resolutions to complex questions involving more than one regulator.
Providing client deliverables in a timely manner, including quarterly monitoring reviews and 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 review of annual and quarterly filings including Form ADV, Form PF, CPO-PQR and CTA-PR
Leading SEC mock audits and annual compliance reviews
Assisting with annual compliance reviews and regulatory mock audits
Performing forensic testing – electronic communications, trading, social media, etc.
Assisting with development and maintenance of technical resources and wider with firm initiatives
Developing training content and training junior staff.
The successful candidate must have at least 8 years’ US Compliance experience from a similar compliance consultancy, Big 4/Law firm or in-house compliance team, including experience of the private fund space (hedge, private equity or real estate etc). You must also have both a working knowledge of the Investment Advisers Act of 1940 and regulation relevant to investment advisers, as well as knowledge of the NFA rules and CFTC regulations relevant to investment managers.
This is a fantastic opportunity to join an independent compliance consultancy that has grown extensively and organically over the past two decades and who continues to add top compliance talent to their ranks.
So, if you have an interest in working with clients regulated in multiple jurisdictions and believe that you have the regulatory knowledge and client facing skills to be a successful Compliance Consultant then please send your details to Gary Collins gary@symescollins.com (Including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
...We are seeking a Restaurant Manager to join our team! You will be responsible for providing customers with a memorable fast food dining experience. The Restaurant Manager is passionate about providing Guests with the best experience possible. Must be committed to contributing...
...just a single person, but an entire community Your expertise will be part of a team of experienced psychologists and business consultants and as a result, you will be learning new skills and methods on a continual basis Were looking for you to come with experience...
...BMV photo files, LEADS-Law Enforcement Automated Data System) to detect fraudulent activity and conducts field and or in-house investigations into allegations of fraud, abuse and or other violations; Independently manages & prioritizes assigned investigative caseload...
...Regulatory Affairs Senior Specialist, Global Market Protection Location : Remote Shift : M-F, standard working hours Pay : $47/hr-$50/hr 1 year contract role Overview: The Regulatory Affairs Senior Specialist is responsible for serving as the RA lead...
Were seeking a Wound Care Nurse - LVN or RN to join our growing team! Reliability, trustworthiness and consistency with regard to attendance is extremely important to this job. The ability to regularly and timely attend work, cooperative and politely work and deal with...