Regulatory Compliance Senior Associates

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Regulatory Compliance Senior Associate
The candidate will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for clients in the alternative and traditional investment sector, including private equity, hedge and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions. Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives. Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements. Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists. Preparation and filing of required regulatory filings, for US and international clients. Review of client and account documentation for anti-money laundering compliance. Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation. Design and monitor testing systems to insure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure. Perform other compliance-related responsibilities and special projects as needed. Bachelor's Degree Required. 3-5 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred. Strong working knowledge of the IA Act of 1940 and the ICA of 1940. Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred. Knowledge of CFTC / NFA as well as FINRA requirements is a plus. JD Preferred.

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