Manager - Regulatory Compliance Asset Management
Manager - Regulatory Compliance Asset Management
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Job Description
Job Description
At EisnerAmper we look for individuals who welcome new ideas encourage innovation and are eager to make an impact. Whether youre starting out in your career or taking your next step as a seasoned professional the EisnerAmper experience is oneofakind. You can design a career youll love from top to bottom we give you the tools you need to succeed and the autonomy to reach your goals.
EisnerAmper is seeking a Regulatory Compliance Manager to join the Financial Services practice. Our Financial Services practice works with more than 1600 hedge funds private equity funds mutual funds and ERISA fiduciaries. Our Global Compliance and Regulatory Solutions (GCRS) team leverages a collective knowledge of global regulations asset management experience and technology expertise to accurately identify and manage regulatory compliance risk. We are eager to meet with candidates who thrive in a fastpaced entrepreneurial environment and enjoy providing clients with exceptional service.
What it Means to Work for EisnerAmper:
You will get to be part of one of the largest and fastest growing accounting and advisory firms in the industry
You will have the flexibility to manage your days in support of our commitment to work/life balance
You will join a culture that has received multiple top Places to Work awards
We believe that great work is accomplished when cultures ideas and experiences come together to create new solutions
We understand that embracing our differences is what unites us as a team and strengthens our foundation
Showing up authentically is how we both as professionals and a Firm find inspiration to do our best work
What Work You Will be Responsible For:
Conducting Client Risk Assessments: Work with Hedge Fund and Private Equity clients to understand their business activities that are subject to the Investment Advisers Act of 1940 and define the regulatory compliance risks.
Drafting Policies and Document Controls: Review the clients Code of Ethics Compliance Manual and any other relevant documents (fund offering documents marketing material etc.. to align policies to the business activities and best practices.
Managing Multiple Client Engagements: Work with the Compliance practice lead to simultaneously manage the delivery of multiple engagements.
Maintaining Pipeline: Maintain a list of CCO relationships track new engagement opportunities and manage marketing initiatives.
Publishing Thought Leadership: Maintain working knowledge of proposed regulations and author and/or coauthor thought leadership to raise your profile as a professional services leader.
Basic Qualifications:
Bachelors degree
5 years of experience working as a regulatory compliance professional for an asset manager/hedge fund (preferred) or a consulting firm with similar industry experience
Knowledge of the Investment Advisers Act of 1940 the SEC and the U.S. regulatory environment
Preferred/Desired Qualifications:
Proficient in Microsoft office tools: Outlook Excel Word PowerPoint SharePoint etc.
Understanding of US UK EMEA and APAC regulatory regimes
Prior consulting experience
Prior supervisory experience
Effective communication skills and the ability to work with management product users and technology development teams in multiple locations
Comfortable working in a fastpaced environment
Strong analytical and problemsolving skills
Former regulator or JD
Masters or other advanced degree
EisnerAmper is proud to be a meritbased employer. We do not discriminate on the basis of veteran or disability status orany protected characteristics under federal state or local law.
About EisnerAmper:
EisnerAmper is one of the largest accounting tax and business advisory firms with approximately 450 partners and 4500 employees across the world. We combine responsiveness with a longrange perspective; to help clients meet the pressing issues they face today and position them for success tomorrow.
Our clients are enterprises as diverse as sophisticated financial institutions and startups global public firms and middlemarket companies as well as high net worth individuals family offices notforprofit organizations and entrepreneurial ventures across a variety of industries. We are also engaged by the attorneys financial professionals bankers and investors who serve these clients.
Should you need any accommodations to complete this application please email: .
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Preferred Location:
For NYC and California the expected salary range for this position is between
85000and
150000The range for the position in other geographies may vary based on market differences.The actual compensation will be determined based on experience and other factors permitted by law.
Required Experience:
Manager
Employment Type
Full-Time
