Compliance Specialist, Finance & Banking

Responsibilities

• Assisting with the annual update of the Funds’ Registration Statements.
• Preparing board meeting materials and organizing board meeting logistics.
• Collaborating with internal teams to draft the response for the 15(c) request letter.
• Assisting the Funds’ CCO in conducting the 38a-1 Annual Review.
• Conducting monthly, quarterly, and annual compliance testing.
• Drafting policies and procedures.
• Reviewing investor subscription agreements to comply with certain requirements, including AML and KYC.
• Assisting with Federal, State, and International regulatory filings (including Form ADV, Form PF, CPO PQR/CTA PR, AIFMD Annex IV, Forms U4, U5, BD,  , D, and DA).
• Providing compliance guidance around policies, procedures, and protocols.
• Performing electronic communications review, surveillance, other testing and helping conduct the annual review.
• Assisting the Firm and Senior Compliance Officers during audits, regulatory, or mock exams

• Bachelor’s degree required. Other certifications or licenses, such as ACAMS, FINRA Securities Industry Essentials (SIE) and Series 7 are a plus.
• 2 to 5 years of experience working in a legal or compliance related role within a financial services firm (broker-dealer, investment adviser, etc.), regulatory body (FINRA, SEC, other SRO) or at a compliance consultant or law firm dealing with broker-dealer, investment advisor, and AML matters.
• Understanding of regulatory and self-regulatory agencies (e.g., FINRA, SEC, CFTC, NFA, FSA) and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933.
• Attention to detail, strong analytical and problem-solving skills, and superior organization and project management skills.