Join the World's Top Legal Talent Network

Location: NYC, Los Angeles, or Miami Compensation: $185k-$230k base + bonus

Responsibilities:

• Lead and support the sales cycle; pitches, proposals, and general contract terms
• Support a large portfolio of clients as the primary resource for daily oversight
• Maintain knowledge of compliance and regulatory matters relating to investment advisor and broker-dealer rules
• Understand regulatory mock examination audits, including documentation requests, onsite reviews and report drafting
• Lead clients on developing policies and procedures relating to compliance manuals, code of ethics and other areas within the business
• Lead compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 reviews, etc.
• Anticipate client regulatory risks and expectations
• Be up to date on current regulatory developments and abreast of new developments on the horizon
• Experience with Financial Conduct Authority (FCA) or other global regulators a plus

REQUIREMENTS:

• Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus
• 6-8 years of total industry experience working at one or more asset managers (in-house), law firm (paralegal), advisory services firm or ex. regulator
• Strong inter-personal skills, ability to independently (or as part of a team) work on-site at a client office
• Excellent written and verbal communication skills
• Independent, self–starter, entrepreneurial mind-set, as well as collaborative problem solver
• Strong analytical and research skills
• Ability to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environment
• Ability to master new tasks quickly and effectively
• Must have the ability to start with limited restrictions