Manager – Regulatory Compliance – Asset Management
| Company | EisnerAmper |
|---|---|
| Location | Stamford, CT, USA, Philadelphia, PA, USA, Iselin, Woodbridge Township, NJ, USA, Plainview, NY, USA, Princeton, NJ, USA, New York, NY, USA |
| Salary | $85000 – $150000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Mid Level, Senior |
Requirements
- Bachelor’s degree
- 5+ years of experience working as a regulatory compliance professional for an asset manager or a consulting firm with similar industry experience
- Knowledge of the Investment Advisers Act of 1940, the SEC and the U.S. regulatory environment
Responsibilities
- Conducting Client Risk Assessments: Work with Hedge Fund and Private Equity clients to understand their business activities that are subject to the Investment Advisers Act of 1940 and define the regulatory compliance risks.
- Drafting Policies and Document Controls: Review the client’s Code of Ethics, Compliance Manual and any other relevant documents (fund offering documents, marketing material etc.) to align policies to the business activities and best practices.
- Managing Multiple Client Engagements: Work with the Compliance practice lead to simultaneously manage the delivery of multiple engagements.
- Maintaining Pipeline: Maintain a list of CCO relationships, track new engagement opportunities, and manage marketing initiatives.
- Publishing Thought Leadership: Maintain working knowledge of proposed regulations and author and/or co-author ‘thought leadership’ to raise your profile as a professional services leader.
Preferred Qualifications
- Proficient in Microsoft office tools: Outlook, Excel, Word, PowerPoint, SharePoint, etc.
- Understanding of US, UK, EMEA, and APAC regulatory regimes
- Prior consulting experience
- Prior supervisory experience
- Effective communication skills and the ability to work with management, product users and technology development teams in multiple locations
- Comfortable working in a fast-paced environment
- Strong analytical and problem-solving skills
- Former regulator or JD
- Master’s or other advanced degree