Description

ADVSORY FIRM COMPLIANCE MD - SENIOR COMPLIANCE EXPERIENCE FROM A REGISTERED INVESTMENT ADVISOR AND GOOD KNOWLEDGE OF THE 1940 ACT REQUIRED

$185,000 - $215,000 + Excellent Benefits New York City

Ref:4182D

Our client, a leading advisory firm, seeks a Managing Director to serve as the lead consultant for investment advisers and investment managers overseeing private funds. In this role, the MD will provide strategic guidance on compliance with the Investment Advisers Act of 1940, applicable state securities regulations, and other relevant regulatory frameworks. In select engagements, the MD may also function as an outsourced Chief Compliance Officer. Main duties include;

1. Serve as primary consultant for private fund clients
2. Provide expert guidance on federal and state regulatory requirements
3. Conduct annual compliance reviews and firm wide risk assessments
4. Lead client relationship teams and maintain strong executive level client interactions
5. Oversee junior team members performing compliance monitoring and testing
6. Lead ad-hoc engagements involving mock exams, annual reviews, regulatory filings, and new registrations
7. Manage and prioritize a diverse book of clients with professionalism and efficiency
8. Contribute to the development and enhancement of technology enabled compliance solutions

You should have at least 10 years of relevant compliance experience from a registered investment adviser, law firm or consulting firm, of which at least six should be covering investment advisers directly and you must have strong knowledge of the Investment Advisers Act of 1940 and state securities laws.

Previous experience as a CCO for a Registered Investment Adviser and/or working for a regulator (SEC, CFTC/NFA or FINRA) advantageous though more important is a solid executive presence and the ability to interact confidently with regulators, senior management and high-profile clients.

So, if that sounds like you, then please send your details to David Symes, Chartered Accountant, at

mailto:david@compliancerecruitment.com

( including contact no ) 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).