Overview

A global asset management and alternative investments firm seeks a Compliance professional to join their dynamic team.

Position Summary:

This important Compliance position involves the review and approval of marketing materials and other client communications, researching and maintaining regulatory registrations in the U.S. and in other jurisdictions and assisting with regulatory filings for U.S. entities and other entities globally.

Essential Functions:

  • Interpret and apply financial industry laws and regulations including the Investment Advisers Act as well as the Adviser’s compliance policies.
  • Review, approve, and track marketing materials and other client communications
  • Research regulatory registration requirements in the U.S. and abroad for various types of business conducted by the firm
  • Assist with various global regulatory filings and exemptions
  • Assist with compliance risk assessment
  • Assist with coordinating internal inspections and regulatory examinations as required
  • Provide reporting on compliance programs and risks to the Compliance Officers and the CCO.
  • Other program or project responsibilities as assigned by the Compliance Officer.

Required Knowledge, Skills and Abilities:

  • Experience with the review of marketing materials and other communications
  • Working knowledge of laws and regulations applicable to the marketing of private funds and investment advisers
  • High capacity for strategic thought and the ability to creatively solve complex business problems.
  • Excellent research skills.
  • Excellent verbal and written communication skills and the ability to interact professionally with a diverse group of managers and subject matter experts.
  • The ability to adapt to a rapidly changing regulatory and business environment.
  • The ability to work independently and operate effectively in a cross-functional environment.
  • Demonstrated ability to prioritize work and manage time in a deadline-driven environment.

Education:

  • Bachelor’s Degree.

Experience:

  • 5-8 plus years of experience in the financial services industry, preferably in a compliance role with an investment adviser, broker-dealer, hedge fund, investment manager, private equity, regulator or with a compliance consulting firm.

Please email a copy of your resume to Jack Kelly at Jack@ComplianceSearch.com.

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