Opportunity: A fast-growing boutique financial service consulting firm seeks a Senior Member for their Compliance team in New York City. This position provides opportunities for the development of high levels of expertise and independent work. The position allows for creative thinking of new ideas, systems, or plans, and innovative problem solving. Employees seeking to gain industry experience from a wide range of client exposure, take ownership of projects and tasks, work in a fast paced and ever changing environment will excel in this role.
Key Components: This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem so ng, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well thought-out decisions. This position requires little delegation of details or responsibilities, it is important that close, quick and critical follow up occur to recognize and correct mistakes. The work schedule of this position will be dictated by client needs, work flow and current deadlines. This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and
traditional investment sector, including private equity, hedge and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions.
- 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