Vice President-Compliance

An established consulting and software firm which provides compliance support to investment advisers and private fund advisers is currently looking to hire a Vice President for our New York or San Francisco office who will serve as the lead contact on many clients. This position will be responsible for helping to provide both SEC registered and unregistered investment advisers with various levels of tailored compliance and regulatory support services. These services range from compliance infrastructure reviews to more proactive monitoring and maintenance of a manager’s compliance program.

The VP will work with various clients to provide a high level of service and pro-active support which will include:

• Maintaining, revising, implementing, and enforcing compliance policies and procedures under Advisers Act Rules
• Assisting in SEC and/or NFA regulatory exams/audits/inquiries
• Updating Form ADV
• Performing annual 206(4)-7 compliance reviews
• Overseeing personal trading activities and an Advisers Act compliant Code of Ethics
• Conducting select testing of a manager’s policies and procedures
• Reviewing/revising investment advisory marketing materials

The ideal candidate would also have relevant FINRA Broker Dealer experience and be able to work on the following:

• FINRA registration projects, including initial applications, understanding changes in membership and registration and applicable state registration

• Completing annual reviews of Broker Dealer compliance programs, including gap analysis and AML reviews
• Filing of Form BD amendments and AML reviews
• Development of and updates to FINRA compliance policies and procedures manuals
• CCO and Registered Representative training
• Employee trading reviews
• Monitoring regulatory developments applicable to Broker Dealer activities, assess impact to firm’s client base and prepare Regulatory updates as appropriate
• Reviewing of sales and advertising literature for broker dealers
• Overseeing maintenance and filings of Forms BD, BR, U-4 and U-5
• Assisting clients with FINRA examinations and related reviews by internal and external parties

Desired Skills and Experience

The ideal candidate must have four years of experience in the private fund compliance field and/or broker dealer compliance field with experience handling regulatory issues under the Investment Advisers Act of 1940.  Knowledge of CFTC/NFA and broker dealer compliance is a plus. A Bachelor’s degree is strongly preferred; a JD is not required. Candidate must be extremely detail oriented and have exceptional client service focus and follow-up skills; ability to work well in a team environment; excellent written and oral communication skills are also required.