Director - Regulatory Compliance (Asset Management)

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 one-of-a-kind. 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 fast-paced entrepreneurial environment and enjoy providing clients with exceptional service.

Note: this is a hybrid role where you would be required to work out of our NYC office or clients location up to 3 days a week.

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 co-author thought leadership to raise your profile as a professional services leader.

• Business Development: Collaborate across practice areas to understand offerings build relationships and identify & pursue revenue generating opportunities. Lead business development activities including development of pursuit plans/pipeline activities provide recommendations to Marketing department for growth opportunities in key focus areas client relationship development program-specific positioning activities team/resource arrangements proposal preparation presentations and contract negotiations consistent with established business development processes.

• Travel: May be required to travel to and work from different company and client locations.

Basic Qualifications:

• Bachelors degree

• 10 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 business development 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 fast-paced environment

• Strong analytical and problem-solving skills

• Former regulator or JD

• Masters or other advanced degree

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