A financial services firm in Westchester County is actively seeking a dedicated and analytical professional to join their staff as their new Compliance Consultant. In this role, the Compliance Consultant will assist withregistering clients as investment advisers with the SEC Responsibilities The Compliance Consultant will be responsible for:
- Preparing policies and procedures, reports, memoranda, and other client deliverables
- Supporting senior consultants with client engagements, including tracking and
- monitoring, ongoing obligations and preparing for meetings and reviews
- Assisting with annual compliance reviews, mock audits, and SEC examinations
- Conducting compliance testing, including electronic communications reviews
- Assisting in the preparation of regulatory filings, including Form ADV, Form PF, Form 13H and Form 13F
- Reviewing marketing materials
- Onboarding and monitoring compliance software platforms for clients
- Participating in client meetings and reviews
- Conducting compliance training sessions for clients' employees
- Researching compliance issues
Qualifications
- Bachelor's degree
- 1-5+ years of regulatory and compliance experience relating to hedge funds or private equity funds at a private fund manager, law firm, consulting firm, or at the SEC
- Understanding of the Investment Advisers Act
- Prior experience assisting with the development or monitoring of compliance programs
- Strong time management skills
- Demonstrated analytical skills
- Excellent problem-solving skills
- Comfortable working independently
Desired skills
- Prior experience preparing regulatory filings or reviewing marketing materials