A financial consulting firm located in Westchester County is actively seeking an experienced and driven professional to join their staff as their new Senior Compliance Consultant. In this role, the Senior Compliance Consultant will be responsible for overseeing engagements for private equity managers, real estate managers, and managers to vehicles that invest in similar illiquid asset classes. Responsibilities The Senior Compliance Consultant will be responsible for:
- Developing compliance policies and procedures for clients to comply with SEC
- requirements
- Conducting regular meetings and calls with clients
- Registering clients as investment advisers with the SEC
- Conducting annual compliance reviews and mock examinations
- Providing ongoing compliance assistance to clients
- Conducting regular meetings and calls with clients
- Assisting clients with SEC examinations
- Conducting compliance training sessions for clients' employees
- Monitoring, interpreting, and communicating regulatory changes that impact clients' existing businesses
Qualifications
- College degree
- 5+ years of related experience
- Extensive regulatory and compliance experience relating to private equity, real estate, private credit, or similar illiquid asset classes at a private fund manager, law firm, consulting firm, or at the SEC
- Expertise on the Investment Advisers Act
- Prior experience conducting or participating in regulatory or mock examinations
- Prior experience developing or monitoring compliance programs, preparing regulatory filings, reviewing marketing materials, and conducting annual compliance reviews
- Strong time management skills
- Proven analytical skills, independence, and ability to come up with practical solutions
Desired skills
- Prior experience managing others or working in teams
- SEC or prior compliance consulting experience