Overview

A global Management Consulting firm seeks a smart, energetic, motivated person with Compliance, Regulatory or Legal experience to join their growing Hedge Fund, Alternative Investments and Investment Management Compliance and Regulatory division.

The person will become an integral part of this expanding team. The division offers Compliance and Regulatory advisory services to asset management, mutual fund, hedge fund, private equity, and alternative investments firms.

The group offers, in part, the following services:

 

  • Involved with Regulatory filings including SEC Form ADV; Form 13F and 13H; Schedule 13G and 13D; Form 3, 4, 5; and Form U4 and U5.
  • Preparing  and filing investment adviser and broker-dealer applications with the Securities and Exchange Commission (SEC), FINRA and regulatory bodies.
  • Conduct mock SEC exams, audits, and compliance testing  .
  • Research regulatory laws, rules and regulations on behalf of corporate clients.
  • Develop, enhance, and evaluate compliance manuals, policies and procedures.
  • Provide assistance to the Compliance department and executive management at client companies.
  • Assist clients in responding to regulatory inquiries and enforcement actions
  • Provide ongoing advice and counsel.
  • Help with business development initiatives.
  • Work closely with executives at the client firms.
  • Interface with regulators on behalf of clients.
  • Help build, grow, and manage a team of Management Consultants.

Requirements :

At least 5 years of  investment adviser, hedge fund, alternative investments, RIA, private equity, asset management, and/or broker-dealer compliance, regulatory or legal experience.

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com.

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