Regulatory Compliance Specialist

Fernridge Group; New York (NY); On-site; USD 80,000 - 120,000; Full time

Job summary

A forward-thinking firm is seeking a Regulatory Compliance Specialist to lead and enhance its compliance program. This role offers the opportunity to innovate processes and automation while ensuring adherence to regulations. You will work closely with the Chief Compliance Officer, gaining invaluable experience in investment advisor compliance. Join a supportive and fun-loving team that values professional growth and autonomy in your role. If you're passionate about compliance and ready to make a significant impact, this opportunity is perfect for you.

Benefits

Fantastic work culture

Supportive team environment

Opportunities for professional growth

Qualifications

• 4+ years of experience in compliance within asset management or consulting.
• Exceptional attention to detail and proactive approach required.

Responsibilities

• Oversee the firm's compliance program and ensure adherence to regulations.
• Manage regulatory filings and conduct compliance reviews.

Skills

Regulatory Compliance

Attention to Detail

Organizational Skills

Written and Verbal Communication

Education

BA/BS Degree

JD (optional)

Job description

Title : Regulatory Compliance Specialist

Firm : $10B+ Private Equity Firm

Location : New York, New York

Highlights :

• Seize the opportunity to lead and enhance the firm's compliance program as the first legal / compliance hire based in the U.S.
• Gain invaluable experience in every facet of investment advisor compliance while innovating processes and automation.
• Enjoy a fantastic work culture filled with perks and a supportive, fun-loving team.
• The Chief Compliance Officer (CCO) is excited to delegate critical components of the program, providing you with autonomy and opportunities for professional growth.

Description :

• Oversee and monitor the effectiveness of the firm's overall compliance program.
• Ensure the firm adheres to the Code of Ethics, managing personal trading, political contributions, outside business activities, and compliance certifications.
• Conduct thorough testing and surveillance of key compliance controls.
• Lead annual compliance reviews in collaboration with external consultants.
• Manage regulatory filings, including Form ADV and Form PF.
• Review and approve marketing materials to ensure compliance with SEC regulations.

Requirements :

• 4+ years of experience in a similar role within an alternative asset management firm or compliance consulting firm.
• BA / BS degree or an equivalent combination of education and experience (JD optional).
• Exceptional attention to detail with self-motivation and a proactive approach.
• Strong organizational abilities, a willingness to work diligently, and a commitment to learning and growing in your responsibilities.
• Excellent written and verbal communication skills, with the ability to build strong interpersonal relationships.

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Regulatory Compliance Specialist • New York, NY, United States