Director Compliance Consulting

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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. Bachelor’s degree is required. MBA or J.D. or is preferred. Should have 10+ years of experience. Previous regulatory examination experience is required. Prior experience giving advice on regulatory matters and demonstrable strong technical skills in compliance issues is required. Strong knowledge of SEC rules and regulations is required. Familiarity with the CEA and NFA rules is a plus.

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