Compliance Director
1 day ago
We are seeking an experienced Compliance Consultancy Director to join our team in New York. As a key member of our Regulatory Consulting team, you will be responsible for providing strategic compliance advice and resolutions to complex questions involving multiple regulators.
Key Responsibilities:
- Acting as lead compliance resource for retained client relationships
- 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
Requirements:
- At least 8 years' US Compliance experience from a similar compliance consultancy, Big 4/Law firm or in-house compliance team
- Experience of the private fund space (hedge, private equity or real estate etc)
- Working knowledge of the Investment Advisers Act of 1940 and regulation relevant to investment advisers
- 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.
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