Job Description

Job Description

Are you a fit? Are you looking for a great way to earn side money? We are looking for EXPERIENCED INVESTMENT ADVISERS ACT OF 1940 compliance professionals only on a PART TIME basis.

Who is NOT a fit? Please do NOT apply if you are in the banking or broker-dealer industries; an attorney or paralegal with no Investment Advisers Act of 1940 experience; or, not in the investment management industry.

Omega Global Partners is seeking PART TIME and FULL TIME senior compliance and legal professionals with a very strong regulatory background in the Investment Advisers Act of 1940 to join our investment management practice. You will work with a wide range of investment management firms to provide expert regulatory advice and ongoing compliance support in regards to the technical requirements of the Investment Advisers Act of 1940.

Company Overview:
We are a leader in compliance consulting, delivering highly specialized regulatory advisory services that help investment advisers protect their enterprise and improve their compliance programs. Our compliance team is organized in several specialty practice areas and our highly credentialed experts and professional staff specialize in providing expert regulatory guidance to investment management firms.

This position affords the successful compliance candidate an exciting opportunity to learn about investment advisers as well as an exciting opportunity to work closely with some of the brightest minds on Wall Street in an informal work environment where collegiality and intellectual rigor are highly valued. A successful candidate is not only a self-starter, but a business leader that can handle any situation.

Responsibilities :

• Design and implement customized compliance programs and assist clients with complying with the Investment Advisers Act of 1940.
• Consult, prepare and file investment adviser filings with the Securities and Exchange Commission (SEC) and states, including SEC Form ADV; Forms PF, 13F and 13H; among other regulatory filings.
• Conduct mock SEC regulatory examinations and compliance testing using state of the art forensic and transactional testing techniques.
• Research technical requirements of Investment Advisers Act of 1940.
• Develop and evaluate compliance manuals, Code of Ethics policy, cybersecurity policies, and other compliance policies and procedures.
• Update and maintain proprietary database of client and regulatory information.
• Provide assistance to executive management.
• Assist clients in responding to regulatory examinations and enforcement inquiries.
• Conduct compliance calls with clients to deliver guidance and advice with respect to the requirements of the Investment Advisers Act of 1940.
• Respond to inbound client emails including, but not limited to advertising reviews, updates to regulatory filings, and researching the Investment Advisers Act of 1940.
• Remain on top of changes to the regulatory landscape and the resulting impact to clients.

Requirements :

At least 5 years investment adviser compliance experience with the Investment Advisors Advisers Act of 1940. Candidates for this position must possess excellent written and communication skills. Creative, analytical thinking and attention to detail would allow an individual to excel in this position. Our office environment is fast-paced and demands teamwork. Organizational and scheduling/time management skills are critical for these positions. Travel is not required.

• At least 5 years investment adviser and/or broker-dealer compliance experience.
• Chief Compliance Officers (CCOs), General Counsels, and senior compliance and legal professionals preferred.
• Candidates must possess excellent written and communication skills.
• Creative, analytical thinking and attention to detail would allow an individual to excel in this position.
• Our office environment is fast-paced and demands teamwork.
• Organizational and scheduling/time management skills are critical for these positions.