Fully Remote Investment Compliance Role
Responsibilities:
• Participate in new client onboarding: interview key personnel, review existing compliance program materials, perform gap analysis
• Draft and submit applications for registration with individual states or the SEC (Form ADV)
• Guide clients through every step of SEC and State exams and communicate with Regulators as necessary
• Customize clients’ policies and procedures manuals to company-specific operational requirements for compliance with SEC and state regulations, as well as best practices
• Analyze, prepare, and submit other regulatory filings such as Form D and Blue Sky filings, 13D/G, 13F, 13H, and Form PF
• Manage compliance calendar and deadlines for assigned Clients
• Review client marketing materials and communications (written and digital)
• Help clients meet their goals by providing strategic consulting services and helping them manage complexities of their specific financial regulatory regime
• Conduct research on SEC and State regulations in response to clients’ inquiries, and advise clients on their business model while applying the principles behind the Securities Act, Securities Exchange Act, Advisers Act, Investment Company Act, and other applicable regulations
• Assist clients in the performance of compliance functions such as overseeing trade matters (i.e., client suitability/KYC, due diligence, insider trading), providing ethics training to investment adviser representatives, email review, etc.
Company Requirements:
Qualifications:
• 4 years minimum of relevant compliance experience at a registered investment adviser, exempt reporting adviser, private fund manager, dual-registered broker dealer, securities law firm, or compliance consulting firm
• Bachelor’s Degree (business, finance, or related field preferred, but not required)
• Strong working knowledge of the IA Act ’40, IC ACT of ‘40, Securities Act ’33, Securities Act ’34, AML and Privacy rules
• Experience with registered investment adviser (including private fund) procedures and associated filings
• Competent with modern software: CRM; project management (tracking client work and deliverables), Microsoft 365 products (Outlook, Word, Excel); file-sharing systems (Box)
• Commitment to customer service: focus on delivering quality work product in a timely manner, maintain an “open door” for clients to reach you for guidance.
• Proactive critical thinker: able to foresee potential risks ahead of making decisions, able to balance business concerns and regulatory requirements.
• Effective communicator: able to confront conflict and difficult issues in a professional and proactive manner.
• Organized and process oriented: ability to multi-task, work under pressure, maintain detailed records, prioritize work, and meet deadlines.
• Self-directed high achiever: strong sense of personal accountability, initiative and enthusiasm, and a positive attitude.
• Outstanding interpersonal and communication skills (both written and verbal)
• Able to work independently and/or remotely with limited direct supervision in an effective and efficient manner, but also comfortable collaborating frequently (via team calls, Zoom, IM) with other team members.
• Willingness to schedule phone calls and meetings at times convenient for clients and customers around the world.
Other Desired Qualifications/Experience:
• Knowledge of crypto and digital asset compliance
• Knowledge of rules and regulations for broker dealers, filings (NMA/CMA, Forms U-4, U-5, BR, BD) and procedures
• Knowledge of CFTC /NFA and FINRA rules
• Ability to function as an outsourced Chief Compliance Officer (CCO)
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• Participate in new client onboarding: interview key personnel, review existing compliance program materials, perform gap analysis
• Draft and submit applications for registration with individual states or the SEC (Form ADV)
• Guide clients through every step of SEC and State exams and communicate with Regulators as necessary
• Customize clients’ policies and procedures manuals to company-specific operational requirements for compliance with SEC and state regulations, as well as best practices
• Analyze, prepare, and submit other regulatory filings such as Form D and Blue Sky filings, 13D/G, 13F, 13H, and Form PF
• Manage compliance calendar and deadlines for assigned Clients
• Review client marketing materials and communications (written and digital)
• Help clients meet their goals by providing strategic consulting services and helping them manage complexities of their specific financial regulatory regime
• Conduct research on SEC and State regulations in response to clients’ inquiries, and advise clients on their business model while applying the principles behind the Securities Act, Securities Exchange Act, Advisers Act, Investment Company Act, and other applicable regulations
• Assist clients in the performance of compliance functions such as overseeing trade matters (i.e., client suitability/KYC, due diligence, insider trading), providing ethics training to investment adviser representatives, email review, etc.
Company Requirements:
Qualifications:
• 4 years minimum of relevant compliance experience at a registered investment adviser, exempt reporting adviser, private fund manager, dual-registered broker dealer, securities law firm, or compliance consulting firm
• Bachelor’s Degree (business, finance, or related field preferred, but not required)
• Strong working knowledge of the IA Act ’40, IC ACT of ‘40, Securities Act ’33, Securities Act ’34, AML and Privacy rules
• Experience with registered investment adviser (including private fund) procedures and associated filings
• Competent with modern software: CRM; project management (tracking client work and deliverables), Microsoft 365 products (Outlook, Word, Excel); file-sharing systems (Box)
• Commitment to customer service: focus on delivering quality work product in a timely manner, maintain an “open door” for clients to reach you for guidance.
• Proactive critical thinker: able to foresee potential risks ahead of making decisions, able to balance business concerns and regulatory requirements.
• Effective communicator: able to confront conflict and difficult issues in a professional and proactive manner.
• Organized and process oriented: ability to multi-task, work under pressure, maintain detailed records, prioritize work, and meet deadlines.
• Self-directed high achiever: strong sense of personal accountability, initiative and enthusiasm, and a positive attitude.
• Outstanding interpersonal and communication skills (both written and verbal)
• Able to work independently and/or remotely with limited direct supervision in an effective and efficient manner, but also comfortable collaborating frequently (via team calls, Zoom, IM) with other team members.
• Willingness to schedule phone calls and meetings at times convenient for clients and customers around the world.
Other Desired Qualifications/Experience:
• Knowledge of crypto and digital asset compliance
• Knowledge of rules and regulations for broker dealers, filings (NMA/CMA, Forms U-4, U-5, BR, BD) and procedures
• Knowledge of CFTC /NFA and FINRA rules
• Ability to function as an outsourced Chief Compliance Officer (CCO)
Apply Now
Apply Now