Sr Associate - Compliance

Key Responsibilities

• Develop internal policies and procedures and current regulatory guidance with respect to marketing and other related compliance matters, and assist maintaining broader L&C policies and procedures.
• Develop educational materials and trainings for business professionals.
• Assess current and prospective regulatory risk through industry interaction and research.
• Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g. quarterly letters, recordings, memoranda, etc.) across various investment strategies from a legal, regulatory, and compliance perspective;
• Supervising a variety of regulatory filings with the SEC, CFTC / NFA, and other international regulatory bodies, in collaboration with Rialto's operations and finance teams.
• Working with team in responding to requests from regulators, preparing for regulatory examinations, and conducting mock examinations in conjunction with external consultants and counsel.
• Supporting the implementation and maintenance of the firms' compliance programs.
• Engaging in meaningful interactions with Rialto's investment and operational professionals on a wide range of business matters.

Specifications

• 8+ experience in a compliance role within a hedge fund, private equity fund, compliance consultancy, financial services firm, or as a practicing funds lawyer, with in-depth knowledge of the Investment Advisers Act of 1940.
• Bachelor’s degree from an accredited institution is required.
• Demonstrated experience with the development, implementation, and oversight of compliance policies and procedures.
• Strong attention to detail and analytical skills.
• Strong analytical skills with the ability to interpret complex regulatory requirements and provide practical, business-oriented advice.
• Strong project management and organizational skills with ability to manage multiple and sometimes conflicting demands.
• Highly effective oral and written communication skills and ability to communicate confidently and effectively.
• Ability to work independently while remaining a strong team player who works collaboratively and builds strong working relationships.
• Proactive management skills and the ability to manage projects independently and to conclusion;
• Substantial initiative, creativity and drive and the ability to implement a measured approach under competing demands and with confidence.