Regulatory & Compliance Manager

EmergencyMD; New York (NY); Hybrid; USD 110,000 - 135,000; Full time

Benefits offered by this job

Health insurance

HSA

FSA

401(k)

Unlimited PTO

Job summary

Stable Rock is seeking a Manager, Regulatory & Compliance to support delivery of regulatory consulting services to investment advisers, registered investment companies, and private fund managers. The role oversees the execution of compliance monitoring programs and assists clients in maintaining regulatory compliance with applicable federal and state securities regulations.

Beyond monitoring, you will supervise Senior Associates and help with mock examinations, regulatory readiness, and

Qualifications

• Education: Bachelor's degree in Finance, Accounting, Business Administration, Economics, or a related field required.
• Professional certifications such as Juris Doctor (J.D.), Investment Adviser Certified Compliance Professional (IACCP) or FINRA securities licenses (Series 7, 24, 63, or 65) preferred.
• Experience: 4+ years of investment adviser compliance experience within a consulting firm, law firm, or registered investment adviser.
• Skills: Working knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements
• Experience supporting compliance monitoring programs for registered investment advisers
• Ability to review compliance testing outputs including personal trading monitoring, restricted list reviews, and surveillance activities
• Strong analytical and problem-solving skills
• Strong written documentation and reporting skills
• Ability to manage multiple tasks and deadlines in a consulting environment
• Effective communication skills for working with clients and internal teams

Responsibilities

• Manage day-to-day compliance monitoring activities across client engagements.
• Review outputs from compliance testing programs including personal trading monitoring, restricted list reviews, and trade surveillance.
• Assist clients with preparation of regulatory filings including Form ADV updates.
• Support annual compliance program reviews and risk assessments.
• Assist with mock regulatory examinations and regulatory readiness assessments.
• Supervise Senior Associates performing compliance monitoring and documentation.
• Assist with onboarding new compliance consulting clients.

Skills

Regulatory knowledge

Compliance monitoring

Testing review

Analytical skills

Documentation & reporting

Task management

Client communication

Education

Bachelor's degree in Finance, Accounting, Business Administration, Economics, or a related field

Tools

Microsoft Office

Claude AI

Job description

Stable Rock is seeking a Manager, Regulatory & Compliance to support delivery of regulatory consulting services to investment advisers, registered investment companies, and private fund managers. The role oversees the execution of compliance monitoring programs and assists clients in maintaining regulatory compliance with applicable federal and state securities regulations.

Beyond monitoring, you will supervise Senior Associates and help with mock examinations, regulatory readiness, and