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Associate Director/Director, Compliance Consultant
$185,000 - $230,000
Posted Jul 12 Full TimeNew York City Metropolitan Area 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