Manager - Regulatory Compliance Alternative Assets
Manager - Regulatory Compliance Alternative Assets
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
- Advising clients on compliance with the Securities Act Securities Exchange Act Advisers Act and other applicable regulatory directives with little input from senior team members.
- Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
- Assist and oversee junior team members in the performance of compliance functions such as personal trading review email review the monitoring of firm trading activities and maintaining restricted lists.
- Perform reviews needed to complete an Annual Review of policies and procedures as required under the Advisers Act. Oversee reviews conducted by other team members.
- Lead client calls and ensure call agendas and work product are provided in a timely manner.
- Review drafts of required US regulatory filings.
- Prepare and conduct training for our clients according to the clients needs particularly regarding the Advisers Act.
- Review drafts of client policies and procedures.
- Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
- Mentor new team members.
- Perform other compliancerelated responsibilities and special projects as needed.
Qualifications :
- Bachelors degree
- 6 plus years of relevant compliance experience at a registered investment adviser law firm or investment consulting firm experience practicing law regarding registered investment companies preferred.
- 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 $85000$125000 and full benefits package offered.
Remote Work :
No
Employment Type :
Fulltime
Employment Type
Full-time
