Regulatory Professional Job in New York 10022, New York US
Unique opportunity to play a meaningful role in a fast growing firm. CounselWorks is seeking an experienced regulatory professional to service and manage client relationships. Responsibilities will include:
· supervising compliance staff in connection with outsourced client compliance work, i.e., marketing, personal trading, execution quality, drafting of compliance procedures, codes of ethics, and regulatory filings etc.
· identifying areas of review and supervise staff in connection with forensic testing and mock regulatory reviews;
· preparing and delivering compliance training;
· advising clients on all aspects of regulatory compliance matters;
· managing client relationships including hosting clients at firm events.
The successful candidate will have 5-7 years regulatory compliance experience specific to asset managers such as hedge funds and private equity firms, and have worked with the SEC’s inspection or enforcement division, or have comparable in-house experience. A JD is a plus, but not a requirement. The candidate should also be personable, outgoing, a self-starter and a team player.
Compensation and benefits are flexible, market competitive and will be commensurate with the candidate’s experience.