Our client, a dynamic and growing regulatory consulting firm, is seeking an experienced and strategic compliance professional to join their New York Regulatory Consulting team. This Consulting Director will play a critical role in advising clients across investment management, ensuring compliance with SEC and NFA regulatory requirements.
Key Points:
• Newly created role driven by increased demand and ongoing firm growth.
• High-touch, high-value consulting model working with a sophisticated asset management client base.
• Collaborative culture across offices in New York and London, offering cross-border exposure and a supportive team dynamic.
• Hybrid work structure (2 days/week in office) with clear opportunity to step into leadership and assist with business development alongside a respected and approachable Managing Director.
Responsibilities:
• Serve as lead compliance advisor for a portfolio of retained clients.
• Provide strategic guidance on complex compliance matters spanning SEC, CFTC, and NFA requirements.
• Draft and implement policies and procedures for private fund managers.
• Oversee registration projects and regulatory filings, including Form ADV, Form PF, CPO-PQR, and CTA-PR.
• Lead mock SEC exams and annual compliance reviews.
• Contribute to internal training resources and cross-office projects with London colleagues.
• Participate in firm-wide initiatives to enhance operational excellence and client delivery.
Qualifications:
• 5+ years of compliance experience in consulting, asset management, or regulatory settings.
• Strong working knowledge of the Investment Advisers Act of 1940 and private fund regulations.
• Familiarity with CFTC/NFA rules relevant to investment managers.
• Ability to manage complex client relationships and project timelines.
• Excellent interpersonal and written communication skills.
• Bachelor’s degree required; advanced degree or JD a plus.
Compensation Expectations: $150-170k base salary + 10% bonus (dependent on experience)