Job Description
Opportunity:
A Growing Out-Sourced Compliance Consulting Firm is currently seeking an experienced Investment Adviser compliance professional. This is a unique opportunity to join a rapidly growing company and work on cutting-edge projects.
Candidates must have a solid foundation in providing compliance support to investment advisors that manage both separately managed accounts and/or private investment vehicles. The ideal candidate is not only well-versed in traditional forms of investment such as public/private equity, debt, and real estate, but is also comfortable with contemporary forms of alternative investments such as crypto/blockchain, cannabis, and internet-based investing.
- Responsibilities:
- Participate in new client onboarding: interview key personnel, review existing compliance program materials, perform gap analysis
- Draft and submit applications for registration with individual states or the SEC (Form ADV)
- Guide clients through every step of SEC and State exams and communicate with Regulators as necessary
- Customize clients’ policies and procedures manuals to company-specific operational requirements for compliance with SEC and state regulations, as well as best practices
- Analyze, prepare, and submit other regulatory filings such as Form D and Blue Sky filings, 13D/G, 13F, 13H, and Form PF
- Manage compliance calendar and deadlines for assigned Clients
- Review client marketing materials and communications (written and digital)
- Help clients meet their goals by providing strategic consulting services and helping them manage complexities of their specific financial regulatory regime
- Conduct research on SEC and State regulations in response to clients’ inquiries, and advise clients on their business model while applying the principles behind the Securities Act, Securities Exchange Act, Advisers Act, Investment Company Act, and other applicable regulations
- Assist clients in the performance of compliance functions such as overseeing trade matters (i.e., client suitability/KYC, due diligence, insider trading), providing ethics training to investment adviser representatives, email review, etc.
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