We are looking to hire a talented and multi-dimensional Senior Associate who will provide ongoing and project-based support to our financial services clients. You will work alongside our team of compliance experts in managing the development and enhancement of our clients’ regulatory and compliance policies and procedures.
This role is unique in nature – it requires an individual who is determined to succeed and push beyond the finish line to achieve quality and ensure that we, and our clients, succeed.
- Strong understanding of regulatory obligations directly effecting financial services firms, including, but not limited to, registered investment advisers, broker dealers, private equity firms, hedge funds, crypto/digital asset managers and venture capital firms
- Ability to manage multiple client projects concurrently while acknowledging that priorities can shift at any moment
- Aid in the ongoing and project-based support needed to develop and implement requisite compliance policies and procedures; in so doing, effectively and pragmatically communicate such policies and procedures to the client
- Assist and perform Annual Reviews of clients’ compliance programs, pursuant to each client’s regulatory obligations
- Prepare and conduct compliance trainings
- Prepare and administer our clients’ annual and quarterly regulatory filings (e.g., Form ADV, Form PF)
- Assist in the composition and maintenance of employee disclosure forms (e.g., Annual Compliance Questionnaire, Code of Ethics Attestation) including, but not limited to, helping the client satisfy their books and records obligations
- Examine and stay apprised of updates and developments in the regulatory environment, while providing bespoke guidance in order to help our clients satisfy new applicable regulatory requirements
- Lead and assist client’s in the registration process to become: (i) an investment adviser at either the state and/or federal level; (ii) broker-dealer with the SEC and a member of FINRA; a commodity pool operator/commodity trading adviser with the CFTC and a member of the NFA
- Provide support during simulated and real time regulatory examinations (e.g., SEC, FINRA or NFA examinations)
- Bachelor’s degree
- At least two years of financial services industry work experience; focus on regulatory compliance preferred, but not required
- Proficient in Microsoft Office applications and Adobe Acrobat
- Strong written, verbal communication and analytical skills
- Strong organizational skills and acute attention to detail
- Desired candidate works independently and/or collaboratively, well under pressure and can meet demanding timelines
- Ability to work in a high-performance culture while managing multiple projects simultaneously
- Desired candidate must be a self-starter, entrepreneurial and resourceful
- This position is limited to applicants located in either Los Angeles or New York City
To apply send a resume and cover letter using the form on this page.