Investment Firm

Compliance, Consultant , New York, NY

Compliance, Consultant (New York, NY): Our client, a successful investment firm with over $100b in AUM, is seeking a compliance professional to join their growing team in a consulting capacity.  This person will support the newly created investor communications and marketing team, covering all matters related to marketing materials and other necessary documentation to investors both domestically and globally.



  • Provide support managing materials as it relates to existing investors’ legal and compliance requests; review marketing materials, due diligence responses, investor communications and other fundraising and reporting materials across several investment strategies from a legal, regulatory and compliance perspective
  • Assist in maintaining internal policies and procedures as well as provide current regulatory guidance with respect to marketing; develop educational materials/trainings for investor relations and/or business development business professionals relating to marketing and fundraising regulations and protocols
  • Assist in assessing current and prospective regulatory risk by conducting industry interaction and research; assist with day-to-day legal and compliancematters as needed


  • 2+ years of relevant experience within a law firm and/or investment management firm; prior experience in a compliance role, J.D. required
  • Understanding of the Advisers Act and FINRA regulations required; ability to interpret legal and business terms
  • Acute attention to detail and analytical skills; strong drafting and organizational skills
  • Ability to communicate confidently and effectively; comfortable working independently while being a true team-player
  •  Substantial initiative, creativity and drive

Job Reference #1508

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