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    Director, Regulatory Compliance

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      Director, Regulatory Compliance

      New York, NY

      $180k to $225k (Negotiable) + bonus


      Seeking: Director,  Regulatory Compliance to join the New York office of a leading independent regulatory consulting firm.


      The Role

      The firm is looking to hire experienced compliance professionals to join the New York Regulatory Consulting team. The work performed out of the firm’s New York office focuses on the SEC and NFA regulatory requirements for investment advisers to private funds and separately managed account clients.


      Key Responsibilities

      • Acting as lead compliance resource for retained client relationships
      • Providing strategic compliance advice and resolutions to at times complex questions involving more than one regulator
      • Drafting and implementing client policies and procedures
      • Leading client registration projects for the SEC and CFTC/NFA
      • Drafting and review of annual and quarterly filings including Form ADV, Form PF, CPO-PQR and CTA-PR
      • Leading SEC and NFA mock audits and annual compliance reviews
      • Assisting with development and maintenance of technical resources
      • Developing training content
      • Assistance with the firm’s initiatives


      Skills & Experience

      • 8+ years experience gained within a compliance consultancy, asset manager, or regulator with work focused on the private fund space (hedge, private equity, real estate, etc.)
      • Working knowledge of the Investment Advisers Act of 1940 and regulation relevant to investment advisers
      • Working knowledge of the NFA rules and CFTC regulations relevant to investment managers
      • Interest in working with clients regulated in multiple jurisdictions and partnering with UK team members for work based out of the firm’s London office
      • Ability to manage client and project budgets
      • Excellent communication skills
      • Undergraduate degree or higher

      Posted by

      Mark Foy

      Managing Director

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