Our client, a leading US compliance consulting firm is looking to hire experienced consultants (permanent roles) at all levels in New York and San Francisco.
You will be responsible for providing tailored compliance and regulatory support to SEC registered & unregistered investment advisors, broker dealers and CPO/CTAs.
The ideal candidate must have experience in the private fund compliance field and/or broker dealer compliance field and/or at a regulator handling examinations and regulatory issues. Knowledge of the Investment Advisers Act of 1940 is required with CFTC/FINRA/NFA broker dealer compliance a plus. This role offers the opportunity to work on a variety of assignments allowing you to build your network and client relationships. Little travel required.
For more information, please contact Benjamin Ellison on 646 766 1212 or