Managing Director- Regulatory Compliance (Alternative Assets)
Managing Director- Regulatory Compliance (Alternative Assets)
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Key Components:
This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex independent problem solving self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound well thought-out decisions. This position requires little delegation of details or responsibilities it is important that close quick and critical follow up occur to recognize and correct mistakes. The work schedule of this position will be dictated by client needs workflow and current deadlines. This hire will join the firms compliance team in the assessment development implementation and testing of compliance programs for our clients in the alternative and traditional investment sector including private equity hedge and venture capital fund managers in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions.
Responsibilities:
- Lead engagements for the development implementation and maintenance of compliance programs for a variety of financial services firms
- Oversee staff in the development and implementation of compliance policies and procedures taking a proactive approach to ensuring policies are implemented
- Lead annual compliance reviews and internal control testing
- Lead onsite training to clients regarding regulatory requirements and best practices
- Register clients as broker-dealers or investment advisers with the appropriate regulatory bodies
- Lead in conducting mock regulatory exams as well as assist in providing SEC and FINRA exam support
- Train staff on firm processes new regulations or takeaways from industry events as well as oversee the development of internal training materials
- Cultivate a culture of community and lead and coach junior staff
- Proactively provide practical business friendly solutions for esoteric regulatory issues
- Contribute to company initiatives outside of client engagement management such as business development staff management or subject matter expertise
- Contribute to special projects and firm initiatives
Qualifications :
- 15 years of relevant compliance experience at a registered investment adviser law firm or investment consulting firm experience practicing law regarding registered investment companies preferred
- Strong working knowledge of the IA Act of 1940 and the ICA of 1940
- Knowledge of SEC Exam practices experience with SEC exams and mock exams preferred
- Knowledge of CFTC / NFA as well as FINRA requirements is a plus
Additional Information :
Salary based on experience and location ($170000-$225000) and full benefits package offered.
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Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
