Our client, a leading US compliance Advisroy firm providing investment advisers and broker dealers compliance services, are looking to hire consultants Analysts, Managers as well as executive level hires (D - MD) in New York and Texas. 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