Compliance Associate

A client I am working with is a boutique regulatory compliance advisory firm headquartered in New York. It specialises in helping investment management firms - such as private equity, venture capital, hedge funds, crypto/digital asset managers and broker-dealers.

Client Organisation:

• Prepare and update agendas for each client meeting
• Create and maintain annual compliance calendars based on each client’s Compliance Program
• Monitor changes to the client’s business or investment strategy
• For project-based work, develop clear timelines to guide both Silver and the client through execution

Research of Requisite Securities Laws, Rules and Regulation

• Build and maintain strong knowledge of regulatory requirements, particularly those set by the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC)
• Continuously monitor regulatory developments and provide tailored advice to help clients comply with new and evolving requirements

Client Compliance Obligations

• Draft tailored compliance policies
• Forensic testing
• Prepare routine and targeted compliance reports
• Conduct risk-based reviews of client emails and communications
• Assist with preparation and submission of filings
• Develop training materials reflecting the client’s Compliance Program

Implementation and Maintenance of Compliance Platform

• Personal Trading Oversight
• Pre-Clearance Framework

Requirements

• Knowledge of SEC and CFTC registration requirements and SEC and CFTC regulatory obligations for investment firms
• Bachelor’s degree - Business major with preferred concentration in Finance, Economics, or Accounting
• 1-5 years compliance experience with an investment adviser, regulatory authority or compliance consultant