Our client, a leading US consulting firm providing investment advisers and broker dealers compliance services, are looking to hire consultants at the AVP and VP and Director level in San Francisco, Dallas and New York. 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 contact Benjamin Ellison on 646 766 1212 or