Job Description

• Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
• Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
• Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists
• Preparation and filing of required regulatory filings, for US and international clients
• Review of client and account documentation for anti-money laundering compliance
• Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation
• Design and monitor testing systems to insure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure
• Perform other compliance-related responsibilities and special projects as needed

Qualifications

• Bachelor's Degree Required
• 5+ 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
• JD Preferred

Additional Information

All your information will be kept confidential according to EEO guidelines.