Senior Associate - Regulatory Compliance (Alternative Assets)

Job Description

You will advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act

You’ll assist clients during regulatory examinations by agencies like the SEC, NFA, and state securities boards

You will review marketing materials to ensure they meet regulatory standards and help clients perform ongoing compliance functions such as monitoring trading and communications

You’ll be responsible for preparing and filing required U.S. regulatory documents and creating training programs on relevant regulations

You will design testing systems, draft policies and procedures, mentor junior team members, and take on special compliance-related projects as needed

Qualifications

• You have a Bachelor’s degree and two plus years of relevant compliance experience
• You need working knowledge of key regulations like the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA or NFA/CFTC rules
• You must be proficient in MS Office tools like Excel and Word, and able to build strong relationships with both clients and colleagues
• You’re expected to be dependable, flexible, and responsive to shifting client needs and priorities
• You must demonstrate strong organizational, analytical, and communication skills, with the ability to work independently, multitask, and make sound judgments in a fast-paced environment

Additional Information

Our commitment to you and the environment
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.