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:
- This newly created position is open due to the firm’s continued expansion and increased client demand.
- Team is collaborative, high-performing, and committed to delivering high-touch, high-value service.
- Firm has a strong industry reputation and operates across both New York and London, offering global exposure.
- Opportunity to join their growing NYC office on a hybrid schedule (2 days in the office per week) and make an impact. The hiring manager is kind, down to earth, smart, approachable, and looking for a partner in this role to help expand their presence as a team.
Responsibilities:
- Act as the lead compliance resource for retained client relationships.
- Partner with the Managing Director to drive business development and sales efforts.
- Provide strategic compliance advice and solutions for complex multi-regulator issues.
- Draft and implement client policies and procedures.
- Lead client registration projects for the SEC and CFTC/NFA.
- Oversee the drafting and review of regulatory filings, including Form ADV, Form PF, CPO-PQR, and CTA-PR.
- Conduct SEC mock audits and annual compliance reviews.
- Develop and maintain technical resources and training content.
- Contribute to firm-wide initiatives and collaborate with the London team on cross-jurisdictional matters.
Qualifications:
- 8-10+ years of experience in compliance consulting, asset management, or regulatory work, with a focus on private funds (hedge, private equity, real estate, etc.).
- Deep knowledge of the Investment Advisers Act of 1940 and regulations relevant to investment advisers.
- Working understanding of NFA rules and CFTC regulations applicable to investment managers.
- Proven ability to manage client and project budgets effectively.
- Excellent communication skills and a client-centric approach.
- Undergraduate degree or higher.
Compensation Expectations: $190-200K base salary + bonus