JOB DESCRIPTION
Summary/Objective
The Senior Compliance Analyst will provide expert advice to the company's clients regarding Advisers Act concepts and compliance with regulatory requirements applicable to private fund advisers, institutional advisers, and wealth managers.
Essential Functions
In this role you will execute on the compliance-related services offered to our clients. This may include any combination of the following services:
- Preparation, review and submission of regulatory filings, including Form ADV and Form PF
- Development and maintenance of client's written compliance policies and procedures, Code of Ethics and other policies, in collaboration with client
- Deliver periodic compliance training to clients staff
- Perform annual compliance reviews in accordance with Rule 206(4)-7 of the Advisers Act
- Perform compliance reviews of client's marketing materials
- Oversee reviews of our managed services, including electronic communication reviews and Code of Ethics reviews
- Provide general compliance consulting, support and guidance to clients undergoing a regulatory (SEC or state) examination
- Conduct SEC mock examinations
- Provide general compliance consulting applicable to a client's business, including consulting regarding policies ancillary to the Investment Advisers Act of 1940, such as Regulation S-P and Regulation S-ID.
- Stay current on new and pending rulemaking applicable to registered investment advisers
Competencies
- Commitment to high standards of customer service and support, focusing on providing value and satisfaction to clients.
- Practice active listening to understand client perspective and concerns.
- Provide sound, rational guidance, even in the face of client resistance.
- Ability to convey complex ideas simply and effectively.
- Strong interpersonal skills to build trust and rapport with clients.
Required Education and Experience
- Minimum 5 years experience as a compliance analyst or adviser for registered investment advisory firm(s), including experience working with private fund advisers
- Strong knowledge of Investment Advisers Act of 1940 as well as other regulations relevant to registered investment advisers
- Bachelor's degree from an accredited college/university
