Consultant Robert Moseman
Date posted December 9, 20187 Times Square New York NY 10036 Robert Walters United States of America
A top-tier buy-side consulting firm in Chicago seeks a Compliance Analyst to help implement legal & compliance programs for various buy-side firms.
The ideal candidate will come from a primarily investment adviser (or law firm in regulatory group) background, and will be working directly with the CEO of the company in the implementation of legal & compliance programs for well-regarded investment management and private equity firms, both in Illinois and across the country.
- Help prepare and submit regulatory filings (including Forms ADV and PF);
- Work on fund formation and different types of legal agreements;
- Write and implement compliance policies & procedures, and revise in accordance to changing rules and regulations;
- Review and approve marketing materials, ensuring adherence to rules and regulations;
- Draft and write compliance manuals and implement compliance training to business;
- Liaise with regulators and help firm prepare for audits by carrying out mock audits.
Please feel free to apply today or call me, Bob Moseman, at (212) 704-9900 for a confidential conversation.