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Director Compliance Consulting
Experience
10 yrs required
Location
Dallas, TX, United States
Posted on
Dec 02, 2022
Profile
Director, Compliance Consulting
The candidate will lead the day-to-day support of the compliance programs for a variety of SEC-registered investment advisers. Provide technical expertise on complex regulatory issues, particularly those related to private equity and hedge fund manager managers. Assist with preparing and reviewing regulatory filings, including Form ADV and PF. Lead clients through all phases of regulatory examinations. Monitor relevant regulatory changes and advise clients on developing new internal controls. Mentor and develop the junior staff. Should have 10 years of experience. Bachelor’s degree is required. MBA or JD or is preferred. Strong knowledge of SEC rules and regulations is required. Familiarity with the CEA and NFA rules is a plus. Previous regulatory examination experience. Prior experience giving advice on regulatory matters and demonstrable strong technical skills in compliance issues. Demonstrable experience in building and managing project teams to address complex issues. Ability to lead and manage day-to-day aspects of engagement activities. Excellent written and verbal communication skills.
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