Charlotte, New York, Los Angeles, ChicagoFull TimeLegal
Remotely
excelsecuritynfacftcglobal relayform advform 13mycomplianceoffice
Job Description
📋 Description
- Hybrid, US-based compliance role supporting multiple clients
- Provide guidance on day-to-day compliance topics
- Prepare regulatory filings (Form ADV, Form 13)
- Assist with registrations with the SEC and CFTC
- Assist with examinations by regulators (SEC, NFA, state)
- Monitor regulatory developments and impact on clients
🎯 Requirements
- Bachelor’s degree
- 1-3 years in compliance (investment adviser, law firm, bank, etc.)
- Knowledge of CFTC, NFA, SEC practices
- MS Office: Excel, Word, Outlook, PowerPoint; Teams
- Excellent written and verbal communication
- Experience with MyComplianceOffice and Global Relay is a plus
🎁 Benefits
- Salary range US$70,000 - 120,000
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