Responsibilities

• Manage compliance programs of investment advisors, hedge funds, private equity firms, and broker-dealers ("the firms").

• Prepare and submit the firms' regulatory filings, including the Form ADV, Form PF, Form 13G, Form 13H, international regulatory filings.

• Work with General Counsel, Chief Compliance Officer and other investment professionals to ensure that the firms are “exam ready.”

• Conduct initial registration processes including development and implementation of the appropriate compliance policies and procedures.

• Conduct “mock” regulatory audits, and annual reviews.

• Establish, review and revise governance policy and procedures.

• Review marketing materials, offering documents, and subscription agreements.

• Chaperone calls involving expert networks.

• Conduct surveillance and testing of the firms' compliance programs including for example, monitoring compliance with the Code of Ethics, the firms' Restricted List(s), keyword search to address and mitigate compliance risks.

• Handle a variety of questions relating to or arising from personal trading.

• Monitor conflicts or potential conflicts of interest.

• Educate employees regarding the firms' policies and procedures by conducting and organizing employee training sessions.

• Oversee the firms' relationships with the third-party vendors.

• Supervise and train analysts and other junior staff.

• Manage and advise on Soft Dollar expenditures and other Soft Dollar related processes.

 

Key Skills

• Self-Starter

• Ability to implement solutions to address regulatory needs of the client

• Experience of monitoring and the skill to develop compliance reporting

• College degree

• Excellent oral and written communication skills

• Proven track record to work independently

 

Experience

• At least 5-7 years experience in a US focused compliance role.

• Experience working for a financial services compliance consultancy firm, Asset Manager, Hedge fund or brokerage firm.

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To apply, email your resume as a single MS Word or PDF file to jdetweiler@ophelos.net with “Senior Compliance Consultant” in the subject line.