Job Description
Candidates must reside in or within commutable distance from the following locations: Dallas; Fort Worth; Chicago; New York; New Jersey; Long Island; or San Francisco.
Minimum Responsibilities:
- Provide day-to-day support in the development, implementation, and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:
- Draft and implement compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements;
- Conduct annual compliance reviews;
- Prepare compliance training materials;
- Prepare and submit regulatory filings;
- Monitor compliance employee personal trading and electronic communications;
- Prepare and maintain employee disclosure forms and assist client in organization and maintenance of required books and records; and
- Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly.
- Register clients as investment advisers with the appropriate regulatory bodies;
- Assist in conducting mock regulatory exams;
- Assist in providing SEC exam support; and
- Proactively provide practical, business friendly solutions for esoteric regulatory issues.