We need US based remote working compliance and legal professionals immediately for interim / hourly rate work
We are seeking professionals with regulatory compliance and/or industry compliance backgrounds, particularly in the Investment Advisers Act of 1940, Investment Company Act of 1940 and FINRA rules to join our investment adviser practice in an effort to help our company continue to grow. The demand for our compliance services is growing from our registered investment adviser clients, (hedge funds, private equity, venture capital, mutual funds and other investment/financial services companies), because of our dedication to excellence, industry knowledge, high ethical standards, and commitment to customer service.
We are a leader in problem-solving consulting, delivering highly specialized on-site and off-site regulatory advisory services that help organizations protect and enhance their enterprise value and compliance programs. With the team organized in several specialty practice areas, our highly credentialed experts and professional staff specialize in providing expert guidance for the financial services industry.
This position affords the successful candidate an exciting opportunity to learn about registered and unregistered investment advisers, banks, broker-dealers, large financial institutions, private equity and venture capital firms, as well as an exciting opportunity to work closely with some of the brightest minds on Wall Street in an informal work environment where collegiality and intellectual rigor are highly valued.
- Consult, prepare and file investment adviser and broker-dealer applications with the Securities and Exchange Commission (SEC), FINRA and states.
- Regulatory filings include SEC Form ADV; Form 13F and 13H; Schedule 13G and 13D; other SEC filings.
- Conduct mock SEC exams and compliance testing using proprietary forensic and transactional testing techniques.
- Research regulatory laws, rules and regulations.
- Develop and evaluate compliance manuals and operational policies and procedures.
- Update and maintain proprietary database of client and regulatory information.
- Provide assistance to consulting staff and executive management. Assist clients in responding to regulatory inquiries and enforcement actions.
- At least 5 years investment adviser compliance experience.
- Chief Compliance Officers (CCOs), General Counsels, and senior compliance and legal professionals preferred.
- Candidates must possess excellent written and communication skills.
- Creative, analytical thinking and attention to detail would allow an individual to excel in this position.
- Our office environment is fast-paced and demands teamwork.
- Organizational and scheduling/time management skills are critical for these positions.