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 [email protected] (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).

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