Regulatory Compliance Specialist

2 weeks ago

New York, New York, United States Next Capital Management LLC Full time

About Us

Established in 1999, Next Capital Management LLC is a distinguished, SEC Registered Investment Advisor dedicated to providing investment and advisory services tailored to high-net-worth individuals, families, trusts, and businesses through a multi-family office approach. Our mission is to create a personalized wealth management experience within a collaborative and professional environment.

Position Overview

The Regulatory Compliance Specialist will play a crucial role in supporting the execution of our firm's RIA Compliance Program. This position encompasses various responsibilities, including ongoing administration, policy development, risk evaluation, compliance testing, and regulatory submissions. This is a part-time opportunity.

Key Responsibilities:

  • Collaborate with the Chief Compliance Officer and Chief Operating Officer to support the firm's regulatory initiatives.
  • Assist in overseeing the management of the firm's Policies and Procedures.
  • Ensure adherence to applicable laws, rules, and regulations.
  • Contribute to the management and enhancement of Next Capital's Compliance Program.
  • Facilitate the development, implementation, and enforcement of policies and procedures aimed at minimizing risk.
  • Support regulatory filings and amendments, including Form ADV and Form 13F.
  • Prepare for and address regulatory inquiries, examinations, and audits, both internal and external.
  • Educate employees on regulatory and legal obligations, keeping them informed of changes in compliance laws and regulations.
  • Interpret and assist in the timely incorporation of new relevant securities regulations.
  • Conduct research, resolve issues, provide recommendations, and escalate matters to senior management as necessary.
  • Perform additional duties as assigned.

Qualifications:

  • Bachelor's degree required.
  • Minimum of five years of relevant work experience.
  • Strong project and time management skills, with the ability to manage multiple priorities and meet deadlines.
  • Demonstrated integrity, motivation, intellectual curiosity, and enthusiasm.
  • Excellent written and verbal communication skills, with the ability to adapt communication style to various audiences.
  • Experience in advisory compliance or legal services is preferred but not mandatory.
  • Familiarity with financial industry products and regulations is advantageous but not essential.

Work Schedule:

  • The expected average weekly commitment is approximately 8 hours, though this may vary, particularly during month-end, quarter-end, and year-end periods. The ideal candidate should be adaptable and possess a flexible schedule to accommodate varying workloads.

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