2 x Compliance Consultants – Compliance Consulting (Asset Management & Funds) Experience Required

Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire two experienced compliance professionals to join their New York Regulatory Consulting team. Managing your own Client Portfolio and acting as the primary compliance resource for those retained client relationships, your focus will be on the SEC and NFA regulatory requirements for investment advisers to private funds and separately managed account clients.

Reporting to the MD of the New York Office whilst also partnering with UK team members for work based out of the Group’s London office , responsibilities will include:

• Ownership of a portfolio of retained clients and providing ongoing strategic compliance advice and resolutions to complex questions involving more than one regulator
• Providing client deliverables in a timely manner, including quarterly monitoring reviews and reports
• Setting up the compliance infrastructure for clients, including policies and procedures and monitoring programs
• Registering firms with the SEC and CFTC/NFA
• Assisting with annual compliance reviews and regulatory mock audits
• Performing forensic testing – electronic communications, trading, social media, etc.

The successful candidates must have between 1 and 5 years’ experience gained within a similar compliance consultancy/law firm. You must also have both a working knowledge of the Investment Advisers Act of 1940 and regulation relevant to investment advisers.

This is a fantastic opportunity to join an independent compliance consultancy that has grown extensively and organically over the past 2 decades and who continues to add the top compliance talent to their ranks. 

So, if you have an interest in working with clients regulated in multiple jurisdictions and believe that you have the regulatory knowledge and client facing skills to be a successful Compliance Consultant then please send your details to Gary Collins gary@symescollins.com (Including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).