We are currently seeking a Senior Consultant with Investment Adviser regulatory compliance experience with an emphasis in private funds, either hedge funds or private equity. Additional experience with SEC registered or NFA/CFTC funds a plus. Experience as a former or current SEC examiner with a history of working with investment advisers and/or funds is required for this position. Other applicants will not be considered.
Expanding, cutting edge compliance consulting firm is seeking skilled and energetic individuals for multi-faceted investment adviser compliance projects. The SEC Investment Adviser Consultant would become part of a highly skilled, entrepreneurial team of compliance professionals, and would offer their expertise in the following areas:
• Mock audits
• Forensic Testing and Internal Control Reviews
• On-site Training Presentations
• Create and review compliance policies and procedures
• SEC and NFA/CFTC, registrations and filings
• Advertising and marketing reviews
• Moderating webinars for industry participants
• Personal trading compliance reviews
• Written reports of compliance recommendations
• Compliance program implementation
This is a full-time, salaried position with benefits. We offer a competitive compensation package based on the candidate’s level of experience. Relocation expenses will NOT be paid. Travel is required (less than 20 percent).
To be considered, please email your resume to email@example.com.
FrontLine Compliance is an Equal Opportunity Employer. Qualified applicants will be considered without regard to race, religion, age, ancestry, national origin, sex, sexual orientation, marital status, disability, or medical condition.
The ideal candidate will have a minimum of 10 years’ experience in investment adviser compliance, with expertise in the Investment Advisers Act of 1940, the Investment Company Act of 1940, and NFA/CFTC regulations for commodity pools. The candidate should possess solid writing abilities and exceptional communication skills. Bachelor’s Degree in Finance, Business, Accounting, or related field required. Certified Regulatory Compliance Professional (CRCP) or equivalent certification desired.