Compliance Consultancy Director
3 weeks ago
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 (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).
-
Compliance Consultancy Director
3 weeks ago
New York, New York, United States Compliance Recruitment Solutions Full timeCompliance 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...
-
New York, NY, United States Compliance Recruitment Solutions Full timeCompliance 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...
-
Compliance Consultant
4 weeks ago
New York, United States H2 Talent Full timeWe're seeking passionate and experienced Cannabis Compliance Consultants to collaborate with multiple clients across the US. This is an exciting opportunity to contribute your expertise to various cultivation projects and help shape the success of our industry in the rapidly evolving cannabis market.Responsibilities:Provide expert guidance on cannabis...
-
Compliance Testing Consultant
1 week ago
New York, NY, United States Robert Half Full timeDescriptionRenowned foreign bank is seeking a Compliance Testing Consultant. Successful candidate will be leading/performing testing, primarily surrounding consumer compliance regulations, as part of the bank's compliance testing team.RequirementsSuccessful candidate will have:- At least 3 years' experience in internal audit and/or compliance testing with a...
-
Director of Compliance
3 weeks ago
New York, United States Newton Baby, Inc. Full timeJob DescriptionJob DescriptionAt Newton, we’re passionate about providing new parents with safe, healthy, sustainable products — and peace of mind. As we continue to expand our reach and offering, we’re focused on delivering an exceptional Brand experience that brings this vision to life. We are seeking a Compliance Director to become an integral part...
-
Director of Audit Compliance
4 days ago
New York, United States Bowery Residents' Committee Full timePosition OverviewReporting to the CFO, the Director of Audit Compliance performs various aspects of professional internal auditing work. Responsible for determining whether internal control functions and processes at BRC are efficiently and effectively carried out in accordance with management instructions, policies and procedures, and regulatory...
-
Director of Audit Compliance
1 week ago
New York, United States Bowery Residents' Committee Full timePosition OverviewReporting to the CFO, the Director of Audit Compliance performs various aspects of professional internal auditing work. Responsible for determining whether internal control functions and processes at BRC are efficiently and effectively carried out in accordance with management instructions, policies and procedures, and regulatory...
-
Director of Audit Compliance
6 days ago
New York, United States Bowery Residents' Committee Full timePosition OverviewReporting to the CFO, the Director of Audit Compliance performs various aspects of professional internal auditing work. Responsible for determining whether internal control functions and processes at BRC are efficiently and effectively carried out in accordance with management instructions, policies and procedures, and regulatory...
-
Compliance Project Management Consultant
1 day ago
New York, United States Sia Partners Full timeSia Partners is a next-generation management consulting firm. We offer a unique blend of AI and design capabilities, augmenting traditional consulting to deliver superior value to our clients. Counting 3,000 consultants in 19 countries, we expect to achieve USD 420 million in turnover for the current fiscal year. With a global footprint and expertise in more...
-
Compliance Project Management Consultant
1 day ago
New York, United States Sia Partners Full timeSia Partners is a next-generation management consulting firm. We offer a unique blend of AI and design capabilities, augmenting traditional consulting to deliver superior value to our clients. Counting 3,000 consultants in 19 countries, we expect to achieve USD 420 million in turnover for the current fiscal year. With a global footprint and expertise in more...
-
Compliance Project Management Consultant
2 days ago
New York, United States Sia Partners Full timeJob DescriptionJob DescriptionCompany DescriptionSia Partners is a next-generation management consulting firm. We offer a unique blend of AI and design capabilities, augmenting traditional consulting to deliver superior value to our clients. Counting 3,000 consultants in 19 countries, we expect to achieve USD 420 million in turnover for the current fiscal...
-
Deputy Director, Compliance
3 weeks ago
New York, United States Building Service 32BJ Benefit Funds Full timeJob DescriptionJob DescriptionOverview of Role: The Deputy Compliance Director is responsible for supporting the Compliance Director in all aspects of the Fund Office’s compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (i.e., legal, training) funds. This...
-
Licensing Compliance Consultant
4 days ago
New York, United States First Tek Full timeResume Format - Please add Sales Pitch to top of Resume, our explanation of why the candidate is qualified for the position. Hybrid: 2 days on site(Tuesday and floating day) Top 3 Skills: 3-5 years of relevant global licensing industry work experience, Experience in operations finance, accounting, and operations management preferred, knowledge of general...
-
Director Legislative Initiatives
1 week ago
New York, United States Metropolitan Transportation Authority Full timePosition at MTA Construction & Development This position is eligible for telework, which is currently one day per week. New hires are eligible to apply 30 days after their effective date of hire. JOB TITLE: Director, Legislative Initiatives & Compliance Services AGENCY: Construction & Development DEPT/DIV: Contracts/Contracts Compliance...
-
Associate Director, Portfolio Compliance
4 weeks ago
New York, United States Tandym Group Full timeA financial services firm in New York City is actively seeking an experienced and hardworking professional to join their staff as their new Associate Director of Portfolio Compliance. In this role, the Associate Director of Portfolio Compliance will be responsible for monitoring current holdings and daily trading activity against client guidelines,...
-
Associate Director, Compliance
4 weeks ago
New York, United States Waystone Governance Ltd. Full timeJob DescriptionJob DescriptionSalary: For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry – partnering with institutional investors, investment funds and asset managers. We work with our clients to help build, support, and protect investment structures and strategies worldwide. Our success...
-
Compliance Project Management Consultant
1 day ago
New York, New York, United States Sia Partners Full timeJob DescriptionSia Partners is looking for a talented Management Consultant to support our Risk, Regulatory & Compliance Business Unit serving our clients as a project manager.Our consultants work closely with our clients' Compliance and Legal leadership teams, leading cross-functional initiatives around Compliance (e.g., AML, KYC, Sanctions), Data Privacy...
-
Director Legislative Initiatives
4 weeks ago
New York, United States Metropolitan Transportation Authority Full timeDescription Position at MTA Construction & Development This position is eligible for telework, which is currently one day per week. New hires are eligible to apply 30 days after their effective date of hire. JOB TITLE: Director, Legislative Initiatives & Compliance Services AGENCY: Construction & Development DEPT/DIV: Contracts/Contracts Compliance...
-
Director of Compliance and Regulatory Affairs
3 weeks ago
Harrison, New York, United States Somnia, Inc. Full timeOverview: Director of Compliance and Regulatory Affairs Overview The primary function of this position is to direct and provide oversight of Somnia’s Compliance and Regulatory Affairs Program. The individual will be responsible for planning, implementing, and managing a compliance and regulatory affairs program for Somnia and its affiliated...
-
Internal Consulting Solutions
2 days ago
New York, United States Citi Full timeThe Internal Consulting Solutions (ICS) organization is a dynamic and expanding team within Citi responsible for leading high value initiatives to meet Citi’s transformation and business priorities. The ICS organization delivers significant programs in close partnership with Citi’s functional and business unit senior leadership. ICS covers a diverse set...