Overview

Location: Anywhere (Remote)

Summary

The Management Consulting division of a global corporate governance consulting firm seeks an Associate Director for their Regulatory Compliance team. This role manages a portfolio of clients and advises them on regulatory compliance matters related to their business. The firm focuses primarily on asset management, alternative investments and similar types of companies.

Essential Duties and Responsibilities

  • Provide regulatory consulting services to clients as needed (e.g., drafting and submitting regulatory filings, conducting forensic compliance testing, reviewing policies, procedures, and marketing materials and other compliance documents; answering compliance-related questions, identify compliance-related issues, and propose resolutions).
  • Ensure all regulatory and compliance requirements are met for assigned portfolio of clients.
  • Provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers.
  • Develop and implement compliance policies and procedures – ensure they are effectively communicated to client, in accordance with the firm’s regulatory requirements.
  • Prepare and deliver compliance training to clients.
  • Prepare and submit annual and quarterly regulatory filings; conduct annual compliance reviews.
  • Monitor employee personal trading and electronic communications.
  • Prepare and maintain employee disclosure forms and assist client in organization and maintenance required books and records.
  • Register clients as investment advisers with the appropriate regulatory bodies.
  • Assist in providing SEC exam support.
  • Proactively provide practical, business friendly solutions on esoteric regulatory issues.

Education & Experience

  • Bachelor’s Degree required, JD and/or MBA preferred.
  • Minimum of 7 years of regulatory compliance and registered investment adviser compliance experience.
  • Expert working knowledge of relevant federal securities laws and associated rules (e.g. Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, Commodity Futures Trading Commission Act of 1974).
  • Ability to exercise discretion and make independent judgments on significant compliance matters.
  • Willing to travel as needed to meet client needs.

 

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

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