About the role

What you'll do

· Regulatory Compliance: Ensure compliance with Rule 206(4)-7 of the Advisers Act, including Form ADV updates and related documentation.

· Personal Trading Management: Oversee the management of the personal trading portal for firm employees, ensuring adherence to internal policies and regulatory requirements.

· Annual Compliance Report: Prepare and maintain the annual compliance report, reflecting the firm's adherence to regulatory standards and internal policies.

· Regulatory Interaction: Act as a key liaison with regulators such as the SEC, NFA, and FINRA, addressing inquiries, audits, and compliance examinations.

· Marketing Literature: Supervise the marketing literature compliance team, ensuring that all promotional materials meet regulatory standards and firm policies.

· Project Management: Lead and participate in a variety of investment adviser compliance projects, including policy development, risk assessment, and implementation of best practices.

Qualifications

· Experience: 5-10 years of experience in a senior compliance role, either as a Chief Compliance Officer (CCO), Deputy Chief Compliance Officer (Deputy CCO), or in a senior position with a compliance consulting firm specializing in investment adviser compliance issues.

· Knowledge: In-depth understanding of Rule 206(4)-7 under the Advisers Act, investment adviser regulations, and compliance processes.

· Skills: Strong analytical and problem-solving skills, excellent written and verbal communication abilities, and proficiency in managing compliance systems and tools.