Our client a boutique consulting firm that offers investment advisers support, is looking to bring on a compliance professional to join their team. This position will offer exposure to all facets of a variety of compliance programs including hedge funds and private equity funds. The position also offers the opportunity to earn commissions if this person can bring in additional business.
Key Points
- Opportunity for someone still young in their career to gain broad asset management compliance
- Entrepreneurial group, allowing this person to have a say and be a key contributor to the growth of the firm
- Exposure to senior management – all members have 10+ years of asset management experience from reputable firms
- Work from home policy: depending on where a person lives, this position can be fully remote
Responsibilities
- Conduct compliance testing and e-mail surveillance reviews; research compliance issues
- Support senior consultants with client engagements (tracking and monitoring, prepping for reviews and meetings); assist in the preparation of regulatory filings, including Form ADV
- Review marketing materials; onboard and monitor compliance software platforms for clients
- Prepare policies and procedures, memoranda, reports and other client deliverables; conduct compliance training sessions and participate in client meetings/reviews
Qualifications
- At least 2 years of regulatory and compliance experience with an investment advisor, law firm or consulting firm; SEC experience is preferred but not required
- Prior experience monitoring a compliance program and preparing regulatory filings; knowledge in forensic testing and implementing or monitoring compliance software platforms is a plus
- Excellent writing and communication skills; strong proficiency in Microsoft Office and attention to detail
Compensation: Up to $150k all in, depending on experience