Qualified Professional - Experienced
Work from Office
LLB, BBA, B.Com
Post Graduation Not Required
- Closely coordinate with the Financial Services Compliance & Regulation - US Compliance Consulting practice to manage and perform various ongoing SEC compliance support services on behalf of its clients (primarily hedge funds and private equity funds)
- Assist in managing and monitoring various personal trading platforms on behalf of FSCR-CC clients
- Proactively monitor and report on potential electronic communication compliance violations on various archival platforms.
- Review and provide compliance comments to marketing materials, including investor letters, DDQs and presentations
- Work closely with external vendors to troubleshoot and escalate critical systems issues
- Actively monitor and report on potential electronic communication compliance violations
- Prepare employee training slides based on policies and procedures as well as SEC / FINRA / NFA recent developments
- Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications and surveillance systems
- Draft updates to client Form ADV registration materials
- Prepare Compliance Manuals and Code of Ethics for clients that are designed to satisfy SEC rules and regulations
- Experience advising hedge funds and private equity funds is a plus.
- Bachelor's or master’s degree in Commerce, Accounting, Law, Business Administration or Management (with a concentration in Accounting, Law, Economics or Finance) from an accredited university or college.
- Proven 2-5 years of work experience in a compliance role.
- Ability to work on own initiative and as part of a team
- Client facing, solutions focused skills
- Clear, logical thought processes, ability to make decisions and articulate these clearly
- Strong English oral and written communication skills
- Time management skills and ability to work within deadlines
- Solution-driven and problem-solving attitude
- Legal or audit background would be useful