Robert Half Financial Services are recruiting for an Alternative Investment Compliance role within a global Investment firm located in midtown Manhattan New York. Our client requires at least 5+ years’ Investment Compliance experience with knowledge of SEC, FINRA and CFTC Regulations.
- Develop and implement the firm’s annual compliance program including identifying opportunities for improvement and communicating value-added recommendations to stakeholders.
- Assisting the CCO and team ensuring compliance with applicable Regulations (SEC/FINRA), regulatory and compliance filings,monitoring fund activity to detect potential compliance issues, and testing.
- Collaborate with the stakeholders and business to resolve compliance issues.
- Serve as a resource for the firm’s staff regarding compliance issues.
- Develop and maintain strong knowledge of laws, regulations and industry best practices that may impact the firm’s business. Assist CCO and Compliance team with monitoring relevant developments and filing schedules.
- Attend various committee meetings as the Compliance representative.
- Conduct and coordinate analysis and reports on compliance assessment work and/or regulatory risks to the CCO and other internal stakeholders, as appropriate.
- Assist with regulatory examinations, inquiries and other data requests.
- Assist in the development, review and update of relevant disclosure documents, as requested.
- Provide compliance training as necessary, including preparation of reference materials and presentations.
- Other duties as necessary (e.g., investor due diligence questionnaires or implementation of new compliance surveillance/monitoring systems).
- 5+ years of work experience in a compliance or regulatory-related function within an SEC, FINRA or CFTC-regulated firm or relevant related experience with a consulting firm.
- Business-related four year college degree; accounting or finance emphasis preferred.
- Knowledge and experience with investment management regulations (e.g., SEC, CFTC, FINRA).
- Strong accounting and analytical skills with attention to detail.
- Excellent verbal and written communication skills and the ability to communicate effectively with people in a variety of relationships and situations.
- Ability to understand complex business structures and identify risks.
This Alternative Investment Compliance role is located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is flexible dependent on experience, but the initial range is $120-150k base plus discretionary bonus. If your profile matches the above criteria, please contact me on **email@example.com**