Senior RIA Compliance Consultant

1 day ago

West Chester, Pennsylvania, United States STP Management Corporation Inc. Full time
Job Summary

We are seeking a highly experienced Senior RIA Compliance Consultant to join our team at STP Management Corporation Inc. As a key member of our compliance team, you will provide expert advice to our clients on Advisers Act concepts and regulatory requirements applicable to private fund advisers, institutional advisers, and wealth managers.

Key Responsibilities:

  • Execute compliance-related services for our clients, including preparation, review, and submission of regulatory filings, development and maintenance of client's written compliance policies and procedures, and delivery of periodic compliance training.
  • Perform annual compliance reviews in accordance with Rule of the Advisers Act and oversee reviews of our managed services, including electronic communication reviews and Code of Ethics reviews.
  • Provide general compliance consulting, support, and guidance to clients undergoing a regulatory (SEC or state) examination and conduct SEC mock examinations.
  • Stay current on new and pending rulemaking applicable to registered investment advisers and be open to serving as outsourced Chief Compliance Officer for a limited number of engagements.

Requirements:

  • Bachelor's degree from an accredited college/university and a minimum of 10 years experience as a senior compliance adviser for a registered investment advisory firm(s) and/or equivalent combination of education and experience.
  • At least 5 years of experience working with private fund advisers and strong knowledge of Investment Advisers Act of 1940 as well as other regulations relevant to registered investment advisers.

Preferred Education and Experience:

  • Experience working in a compliance environment with various types of registered investment advisers, including wealth managers and institutional asset managers.
  • Experience working as a CCO for a private fund adviser.

Competencies:

  • Commitment to high standards of customer service and support, focusing on providing value and satisfaction to clients.
  • Practice active listening to understand client perspective and concerns.
  • Provide sound, rational guidance, even in the face of client resistance.
  • Ability to convey complex ideas simply and effectively.
  • Strong interpersonal skills to build trust and rapport with clients.

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