Consultant | Regulatory & Compliance

📋 Description

• Advising clients on day-to-day compliance topics such as personal trading, email reviews, firm
• Preparing and submitting regulatory filings, including Form ADV and Form 13 filings
• Managing client registrations with regulators like the SEC and CFTC
• Supporting regulatory examinations by the SEC, NFA, and state regulators
• Investigating and resolving compliance issues per client policies
• Monitoring regulatory developments and assessing impact on clients

🎯 Requirements

• A Bachelor’s degree
• 1 to 3 years of compliance experience in asset management or related fields
• Knowledge of CFTC, NFA, SEC examination practices
• Strong Microsoft Office skills (Teams, Excel, Word, Outlook, PowerPoint)
• Excellent written and verbal communication
• Experience with MyComplianceOffice and Global Relay an advantage

🎁 Benefits

• Hybrid work model in major U.S. cities