Job Description

Role and Responsibilities

• Assisting in registering clients as investment advisers with the SEC
• Preparing policies and procedures, reports, memoranda and other client deliverables
• Supporting senior consultants with client engagements, including tracking and monitoring, ongoing obligations and preparing for meetings and reviews
• Assisting with annual compliance reviews, mock audits and SEC examinations
• Conducting compliance testing, including electronic communications reviews
• Assisting in the preparation of regulatory filings, including Form ADV, Form PF, Form 13H and Form 13F
• Reviewing marketing materials
• Assisting with the onboarding and monitoring of compliance software platforms for clients
• Participating in client meetings and reviews
• Assisting in conducting compliance training sessions for clients’ employees
• Researching compliance issues

Skills & Experience

• 4-7 years of regulatory and compliance experience relating to hedge funds or private equity funds at a private fund manager, law firm, consulting firm or at the SEC
• Understanding of the Investment Advisers Act
• Experience assisting with the development or monitoring of compliance programs
• Experience preparing regulatory filings or reviewing marketing materials is a plus
• Must have strong time management skills
• Strong analytical skills, independence and ability to come up with practical solutions

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