Director, Compliance Consulting – Funds Experience and 1940 Act/NFA/CFTC Knowledge Required

Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory Consulting team. Acting as the primary compliance resource for 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
• Drafting and submitting annual and quarterly filings including Form ADV, Form PF, CPO-PQR and CTA-PR
• Assisting with annual compliance reviews and regulatory mock audits
• Performing forensic testing – electronic communications, trading, social media, etc.

The successful candidate must have at least 5 years’ experience gained within a similar compliance consultancy/law firm, an in-house role with an asset manager or else with a Regulator, including experience  of the private fund space (hedge, private equity, real estate, etc). You must also have both a working knowledge of the Investment Advisers Act of 1940 and regulation relevant to investment advisers, as well as knowledge of the NFA rules and CFTC regulations relevant to investment managers.

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).