New YorkFull TimeLegal
Remotely
regulatory compliancenfacftcform advform 13mycomplianceoffice
Job Description
📋 Description
- Support a portfolio of clients in investment management
- Provide day-to-day compliance guidance on topics like personal trading and filings
- Assist with regulatory filings (Form ADV, Form 13) and registrations with regulators
- Assist with regulatory examinations by SEC, NFA, state regulators
- Review materials to ensure adherence to Advisers Act and regulations
- Collaborate with regulators, clients, and internal teams including CFO
🎯 Requirements
- Bachelor’s degree
- 1 to 3 years in compliance, asset management or related field
- Knowledge of CFTC, NFA, SEC exam practices is a plus
- Strong MS Office skills (Teams, Excel, Word, Outlook, PowerPoint)
- Excellent written and verbal communication
- Experience with MyComplianceOffice and Global Relay is an advantage
🎁 Benefits
- Salary range US$96,000 – US$120,000
- Hybrid work model in key U.S. cities
- Opportunity to grow in regulatory and compliance career
- Client-facing role with exposure to multiple regulators
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