Consultant Jessica Taylor
Date posted October 18, 20187 Times Square New York NY 10036 Robert Walters United States of America
The role will involve providing compliance monitoring support to the CCO/GC in as part of the Legal & Compliance team. Working closely with the CCO/GC providing advice and guidance to the business in order to satisfy all external regulatory obligations and client contractual requirements. A solid understanding of the regulatory environment governing Investment Management and Private Equity is preferred as is prior work experience gained directly in the financial services industry.
- Assisting in all compliance and regulatory matters: SEC and CFTC registrations, ERISA, and federal, state and international securities laws (including the Investment Advisors Act of 1940, the Securities Act of 1933 and the Exchange Act of 1934)
- Work closely with the CCO/GC in coordinating various SEC, CFTC, FCA and other foreign regulatory filings, including Section 13 filings
- Working with the CCO/GC for these businesses to ensure that compliance documents, including Registered Investment Adviser Policies and Procedures, CFTC Policies and Procedures, Form ADV Parts 1 and 2, Form PF and Compliance Audit Program are current, and to assist and identify areas where policies and procedures need to be developed or amended
- Focusing on internal compliance policy review, including ongoing assessments, assisting with annual 206(4)-7 compliance review, internal audit reviews and ongoing or ad hoc reviews
- Design, implement and test surveillance/monitoring reports on a periodic basis
- Working with the CCO/GC regarding firm wide compliance issues and projects; and special compliance/internal audit related projects as necessary
Qualifications & Experience
- Degree level or appropriate vocational qualification
- JD Preferred.
- Previous compliance or auditing or legal experience
- Experience in the finance or professional services sectors