Job Description
Job Description
Associate Director – Compliance Consulting
Location: Los Angeles
Firm Overview
A prominent compliance consulting firm. The firm serves clients, including hedge funds, private equity, real estate managers, banks, and broker-dealers.
Role Overview
This hire will provide senior oversight of regulatory compliance matters for a diverse portfolio of clients, ensuring they meet SEC, CFTC/NFA, FINRA, and other regulatory requirements. This is a full-time, client-facing role with significant growth and revenue-sharing opportunities.
Key Responsibilities
- Client Management: Act as the primary day-to-day compliance oversight resource for a portfolio of clients.
- Regulatory Expertise: Develop and implement policies and procedures, including compliance manuals, codes of ethics, and MNPI protocols.
- Mock Audits: Conduct regulatory mock examinations, including document reviews, onsite interviews, and report drafting.
- Training: Provide compliance training on marketing, personal trading, electronic communications surveillance, and best execution.
- Risk Management: Anticipate and address client regulatory risks, focusing on key priorities without compromising quality.
- Business Development: Support or lead sales cycles, including pitches, proposals, and follow-ons.
Qualifications:
- 5+ years in compliance within hedge funds, private equity, consulting firms, or asset managers.
- Strong knowledge of SEC, CFTC/NFA, and FINRA regulations. Experience with FCA or other global regulators is a plus.
- Education: Undergraduate degree required; J.D. or advanced degree preferred.
#34632
Job Tags
Full time,