Consultant | Regulatory & Compliance

📋 Description

• Support clients with a broad range of compliance matters in investment management
• Advise on day-to-day topics like personal trading, email reviews, and monitoring
• Prepare and submit regulatory filings (e.g., Form ADV, Form 13)
• Manage registrations with regulators (SEC, CFTC) and assist with regulatory examinations
• Investigate and resolve compliance issues in line with client policies
• Monitor regulatory developments and analyze impact on clients

🎯 Requirements

• Bachelor’s degree or equivalent
• 1–3 years in compliance (investment adviser, law firm, bank, or similar)
• Knowledge of CFTC, NFA, SEC examination practices a plus
• Strong MS Office skills (Teams, Excel, Word, Outlook, PowerPoint)
• Experience with MyComplianceOffice and Global Relay is advantageous

🎁 Benefits

• Core values include client centricity, ambition, agility, collaboration, and ethics
• Equal opportunities and inclusive environment