Compliance Consultancy Director - Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Job at Compliance Recruitment Solutions, New York, NY

Rmk4ZXp2c2dlZWVFV3FIWEROb3hzL3EwbUE9PQ==
  • Compliance Recruitment Solutions
  • New York, NY

Job Description

Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required

Ref: 4015G3

$200K - $220K + Bonus + Benefits

New York City

Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory Consulting team. Acting as the primary compliance resource for retained client relationships, your focus will be on the SEC and NFA regulatory requirements for investment advisers to private funds and separately managed account clients.

Reporting to the MD of the New York Office whilst also partnering with UK team members for work based out of the Group’s London office, responsibilities will include:

Acting as lead compliance resource for retained client relationships, providing ongoing strategic compliance advice and resolutions to complex questions involving more than one regulator.

Providing client deliverables in a timely manner, including quarterly monitoring reviews and reports

Setting up the compliance infrastructure for clients, including policies and procedures and monitoring programs

Registering firms with the SEC and CFTC/NFA

Drafting and review of annual and quarterly filings including Form ADV, Form PF, CPO-PQR and CTA-PR

Leading SEC mock audits and annual compliance reviews

Assisting with annual compliance reviews and regulatory mock audits

Performing forensic testing – electronic communications, trading, social media, etc.

Assisting with development and maintenance of technical resources and wider with firm initiatives

Developing training content and training junior staff.

The successful candidate must have at least 8 years’ US Compliance experience from a similar compliance consultancy, Big 4/Law firm or in-house compliance team, including experience of the private fund space (hedge, private equity or real estate etc). You must also have both a working knowledge of the Investment Advisers Act of 1940 and regulation relevant to investment advisers, as well as knowledge of the NFA rules and CFTC regulations relevant to investment managers.

This is a fantastic opportunity to join an independent compliance consultancy that has grown extensively and organically over the past two decades and who continues to add top compliance talent to their ranks. 

So, if you have an interest in working with clients regulated in multiple jurisdictions and believe that you have the regulatory knowledge and client facing skills to be a successful Compliance Consultant then please send your details to Gary Collins gary@symescollins.com (Including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Job Tags

Full time,

Similar Jobs

Crime Scene Resources, Inc

Forensic Scientist (Drug Chemistry) Job at Crime Scene Resources, Inc

 ...analyses on items of evidence submitted in relation to criminal investigations, or calibrating breath testing instrumentation, functioning...  .... Special Requirements: Must pass a comprehensive background check in addition to a fingerprint-based criminal background... 

Pella

Pella - Production Team Member 1st & 3rd shift Job at Pella

The Production Team Member works as a part of a team performing multiple assembly duties for the construction of windows and doors. The operators assigned team and tasks will vary based on business necessity. Location: Gresham, OR Job: Full-time 1st Shift $17...

Omni Interactions

Work from Home Customer Service Rep in a Contractor Role - Omni Job at Omni Interactions

This is the start of your journey to contracting with Omni. Once you have joined our community of remote customer care contractors, you will have exclusive access to view all open contracts. Omni supports many clients. Independent contractors who are among the qualified...

Horizon Home Care & Hospice

CNA-Home Health Aide - Days (Private Duty Home Care) Job at Horizon Home Care & Hospice

 ...and holiday rotation.Hourly, Non-ExemptPrivate DutyPosted: 10/21/2024Job Status: Full...  ...our growing organization!To some people, home is a place. To others, it's a feeling. To...  ...wherever they are.The future of health care is home care.As part of an interdisciplinary... 

Farm Job Search

Dairy Farm Assistant Herdsman Job at Farm Job Search

 ...Dairy Farm Assistant Herdsman (6189) Location: Illinois JobNumber: 6189 Dairy Farm Assistant Herdsman position immediately available on a 140 cow south west Illinois family farm. Free stall barn, double 8 parlor with automatic takeoffs and TMR feeding. Responsibilities...