Overview
Location: Flexible; US remote.
This role supports mock regulatory examinations and compliance program reviews, assists with policy and procedure reviews, drafts reports and manuals to support compliance with regulatory requirements, and provides compliance assistance and advice to clients. Clients may include those that advise private funds (e.g., hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure, etc.) and/or registered products (e.g., ETFs and/or mutual funds). The position may include leading complex projects, managing client relationships, and developing and overseeing junior staff.
Responsibilities may also include serving as an outsourced chief compliance officer (“oCCO”) for clients. In an oCCO capacity, the individual is the named CCO and ensures the compliance program is carried out in accordance with regulatory requirements and best practices.
Responsibilities
- Lead or assist all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports; oversee and review the work of project team members.
- Perform broad-scope work during reviews of large and complex clients; guide, coordinate, and consolidate the work of colleagues during reviews.
- Provide regulatory consulting services as needed, including:
- Creating drafts of and submitting regulatory filings
- Conducting forensic testing
- Reviewing policies, procedures, and marketing materials and other compliance documents
- Answering compliance-related questions from clients
- Identifying compliance-related issues and proposing resolutions
- Manage assigned client relationships and projects proactively and profitably by providing expert advice and delivering a strong client experience.
- Liaise with internal departments (finance, sales, legal) as the designated account owner, including responding to client questions and needs in a timely manner and ensuring colleagues on shared accounts do the same.
- Identify, manage and/or support special projects and internal initiatives, such as:
- Drafting articles for industry publications
- Participating in sales
- Conducting or overseeing research on compliance issues
- Preparing, overseeing, and/or delivering internal or client training and/or presentations
- Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity.
- Perform ad-hoc work and special projects as necessary to support client and internal initiatives.
Requirements
- Bachelor’s degree.
- 8 years of industry experience. Alternatively, at least 6 years of experience that includes some combination of:
- (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority; or
- (ii) a compliance analyst or consultant with the company or a consulting organization comparable to the company.
- Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder, including:
- Investment Advisers Act of 1940
- Investment Company Act of 1940
- Securities Exchange Act of 1934
- Commodity Exchange Act of 1936
- Commodity Futures Trading Commission Act of 1974
- Executive presence, including the ability to interact effectively with regulators and high-profile clients.
Preferred Qualifications
- Major or concentration in compliance, law, business, accounting, finance, and/or economics.
- Supervisory experience.
Skills and Attributes for Success
- Demonstrated professional integrity.
- Dependable, flexible, and adaptable to new initiatives and changing client needs.
- Ability to exercise discretion and make independent judgments on matters of significance.
- Ability to work in a fast-paced individual and small team environment.
- Ability to establish and maintain effective working relationships with colleagues and clients.
- Highly motivated and goal-oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on internal and external projects and tasks.
- Dedicated to upholding high-quality standards and a customer service focus.
- Strong organizational and problem-solving skills with attention to detail.
- Strong oral and written communication skills.
- Proficient with Microsoft Office applications and comfortable working in a tech-enabled environment; understanding of web-based technology applications and willingness to provide input in enhancements and new solutions.
- Willingness to travel.
Supervisory Duties Summary
- Supervise, train, evaluate, oversee, and provide feedback to junior colleagues.
Compensation & Benefits
Salary Range: $180K-$200K plus bonus.
Total Rewards package includes:
- Medical and dental coverage
- 401(k) plans
- Paid time off options
- Flexible work environment
- Time off for designated paid holidays, Summer Fridays, Personal/Family Care, and other leaves of absence as needed
- Student Debt Forgiveness
- Pet Insurance
Location
US remote (flexible).