Senior Associate
1 month ago
Compensation: $130k-$180k base + bonus
Responsibilities:
- Lead and support the sales cycle; pitches, proposals, and general contract terms.
- Support a large portfolio of clients as the primary resource for daily oversight.
- Maintain knowledge of compliance and regulatory matters relating to investment advisor and broker-dealer rules.
- Understand regulatory mock examination audits, including documentation requests, onsite reviews, and report drafting.
- Lead clients on developing policies and procedures relating to compliance manuals, code of ethics, and other areas within the business.
- Lead compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 reviews, etc.
- Anticipate client regulatory risks and expectations.
- Stay up to date on current regulatory developments and be aware of new developments on the horizon.
- Experience with Financial Conduct Authority (FCA) or other global regulators is a plus.
Requirements:
- Undergrad degree required from an accredited college or university; J.D. or advanced degree is a plus.
- 6-8 years of total industry experience working at one or more asset managers (in-house), law firm (paralegal), advisory services firm, or as an ex-regulator.
- Strong inter-personal skills, with the ability to independently (or as part of a team) work on-site at a client office.
- Excellent written and verbal communication skills.
- Independent, self-starter, entrepreneurial mind-set, as well as a collaborative problem solver.
- Strong analytical and research skills.
- Ability to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environment.
- Ability to master new tasks quickly and effectively.
- Must have the ability to start with limited restrictions.
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