New York, United States

Regulatory Compliance Manager

Full-time / part-time
Full-time
Level
Mid-Senior Level
Department
Compliance & Risk
Address
250 West 57th Street
New York
10107
United States

Job description

  • 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 other 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 and filing of required regulatory filings, for US and international clients
  • Review of client and account documentation for anti-money laundering compliance
  • Review, assess, devise, and conduct training of our 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 and entertainment, and 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 technology infrastructure
  • Perform other compliance-related responsibilities and special projects as needed

Qualifications

  • Bachelor's Degree Required
  • 5+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred
  • Strong working knowledge of the IA Act of 1940 and the ICA of 1940
  • Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred
  • Knowledge of CFTC / NFA as well as FINRA requirements is a plus
  • JD Preferred

 

Additional information

All your information will be kept confidential according to EEO guidelines.

Company description

Constellation Advisers is a premier investment management consultancy with a boutique firm approach. Drawing from decades of experience in investment management and financial services, our consultants provide expert advice and value-added service to a range of traditional and alternative investment management firms, their investors, and their service providers, including hedge funds, mutual funds, fund of funds, private wealth management firms, private equity and venture capital funds, global asset managers, foundations, fund administrators, prime brokers, and dispute litigators. Please see our website at https://www.constellationadvisers.com/

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