COMPLIANCE ADVISOR
COMPLIANCE ADVISOR – US REG KNOWLEDGE REQUIRED
The Client:
A boutique global compliance consultancy based in Asia and Europe with some of the most prestigious blue chip internationals within its client base. Specialising in advising non-US businesses on US regulations across Europe with a focus upon London.
The Role:
You will advise on US regulation and SEC/CFTC requirements, and liaise professionally with clients to build strong relationships.
Assisting in drafting compliance manuals and procedures.
Advising on implementation.
Carrying out annual reviews, mock inspections, gap analyses and other assignments.
Monitoring of compliance procedures.
Advising on licensing and filing requirements.
The Candidate:
You will be a dynamic regulatory adviser joining them in their London base, to work with European clients.
You must have at least three years demonstrated regulatory, legal or compliance experience, with experience covering US SEC/CFTC Investment Advisor Act requirements.
You will be interested in continued European travel.
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