Regulatory Compliance Consultant - Remote Working Available

Job Title: Regulatory Compliance Consultant - Remote Working Available
Contract Type: Contract
Location: New York, USA
Salary: US$0.00 - US$1 per hour
Reference: BBBH20930_1551359832
Contact Name: Robynne McPadden
Contact Email:
Job Published: February 28, 2019 13:17

Job Description

A leading US consulting firm providing investment advisers and broker dealers compliance services, are looking to hire consultants at the AVP and VP level contractors/consultants.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.

Understanding of, the following areas: maintaining, revising, implementing, and enforcing compliance policies and procedures; assisting in regulatory exams/audits/inquiries; updating Form ADV; performing annual compliance reviews; overseeing personal trading activities and an Advisers Act compliant Code of Ethics; monitoring regulatory changes in the investment management industry; interacting with a trading department with respect to brokerage/trading policy adherence; reviewing/revising investment advisory marketing materials.

A J.D. is not required but preferred. Compensation is competitive and commensurate with industry experience.

For more information, please reach out to Robynne McPadden at Twenty Recruitment.

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