Senior Compliance Professional (Financial Services Consulting)

This job is no longer active. View similar jobs.

POST DATE 8/16/2016
END DATE 12/19/2016

Confidential Company New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #


REQUIRES: 7-10 years of compliance experience at a registered investment adviser, investment consulting firm or law firm. J.D. and SEC experience preferred.

A fast-growing boutique financial services consulting firm seeks an experienced Senior Compliance Professional. This role joins the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for clients in the alternative and traditional investments sector, in addition to providing SEC Exam support and outsourced Chief Compliance Officer (CCO) functions.


Manage team of compliance professionals:

- 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 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 & filing of required regulatory filings for U.S. & international clients

Review of client and account documentation for anti-money laundering compliance

Review, assess, devise, and conduct training of 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 & entertainment, 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 infrastructure

Perform other compliance-related responsibilities and special projects as needed


J.D. and SEC experience preferred, candidates with extensive experience will be considered

7-10 years of relevant compliance experience at a registered investment adviser, investment consulting firm or law firm

Strong working knowledge of the Investment Advisers Act of 1940 and the Investment Companies Act of 1940, as well as the requirements of a Compliance and Risk program under both

Knowledge of SEC Exam practices, experience with SEC exams & mock exams is required.

Knowledge of CFTC / NFA as well as FINRA requirements is a plus

Proven ability to multi-task, prioritize, and organize time effectively in a fast-paced and fluid environment, driving projects to completion with minimal supervision

Excellent written & oral communication skills, strong ability to develop effective working relationships with clients and staff, and make articulate recommendations to department managers regarding potential solutions to issues

Team orientation and willingness to engage in tasks of all sizes

Strong attention to detail

Hard-working, dedicated, punctual, personable

Proficient in all Microsoft Office programs

Management experience is a plus