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
- We’re committed to sustainability and fostering an inclusive, equitable, and diverse culture for our employees
- We offer a comprehensive benefits package including generous paid time off, health benefits, and additional ancillary insurance plans
- We provide a hybrid work schedule and learning and development programmes to support employee growth and career development
- We’re committed to growing relationships with our clients and supporting their sustainability and success
Pay
The salary for this position will be dependent on experience and location ($70,000-$95,000)
Schedule
This position is full-time