Private Fund Compliance Officer Job at JCW Group, Westchester County, NY

enFMMmJzd0Z5U09vZnJIekdjdW5xdGw5VVE9PQ==
  • JCW Group
  • Westchester County, NY

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

Job Tags

Similar Jobs

Onslow Memorial Hospital

Mental Health Technician Job at Onslow Memorial Hospital

**Grant Funded** The Mental Health Technician provides direct care and support to patients experiencing mental health issues. This role involves assisting patients with their daily activities, observing and recording their behavior, and supporting therapeutic programs... 

Ultimate Staffing

Order Entry / Administrative Assistant Job at Ultimate Staffing

 ...entry level and experienced candidates with a background in administrative support, customer service and data entry. These are permanent...  ...medical condition, genetic information, pregnancy, or military or veteran status. We consider all qualified applicants, including those... 

Alpha Business Images, LLC ("ABI"​)

Experienced Ad / Marketing Agency Account Executive Job at Alpha Business Images, LLC ("ABI"​)

 ...ABI is in its 21st year and growing. We're proud to be one of the largest woman-owned agencies in the Southwest! Our marketing/ad agency has a great culture where we work hard and value personal/family time. Were looking for our next team member who will offer the superior... 

Humanscale

Search Engine Optimization Manager Job at Humanscale

 ...Overview The Search Engine Optimization Manager leads Humanscales SEO strategy to drive organic traffic growth, develop keyword strategy, enhance...  ...best practices. Collaborate with Digital, IT, Product Marketing, Brand Creative, and Consulting teams to ensure SEO best... 

MTMC

Territory Manager Job at MTMC

Company Description MTMC MedTech MedCare is a leading outsourced medical device and supply sales company in the United States with annual sales exceeding $1 Billion. MTMC's Sales Team focuses on delivering strategies related to clinical, financial, and operational...