Impactful Regulatory Compliance Associate

WhiteCap Search; Stamford (CT); Sur place; USD 70 000 - 100 000; Plein temps

Résumé du poste

Whitecap Search is seeking a dedicated compliance professional to join a dynamic team within a leading financial institution in Stamford, CT. The role offers exposure to senior leadership and involvement in day-to-day compliance operations, policy development, and implementation.

The successful candidate will work closely with senior executives and contribute to the development of regulatory policies, ensuring alignment with investment advisor requirements and industry standards.

Qualifications

• Minimum of 3 years of experience in investment advisor regulatory compliance.
• Strong understanding of fund formation and related documentation, including formation and offering documents.

Responsabilités

• Manage the daily compliance functions and serve as the primary point of contact for regulatory inquiries.
• Collaborate with various internal teams to ensure seamless integration of compliance policies and procedures.
• Assist in the development and implementation of new compliance policies and procedures.
• Provide support to the Chief Compliance Officer and General Counsel in compliance-related matters.

Connaissances

Regulatory compliance

Fund formation

Description du poste

Whitecap Search is seeking a dedicated compliance professional to join a dynamic team within a leading financial institution in Stamford, CT. The role offers exposure to senior leadership and involvement in day-to-day compliance operations, policy development, and implementation.

The successful candidate will work closely with senior executives and contribute to the development of regulatory policies, ensuring alignment with investment advisor requirements and industry standards.