Our client, a large asset manager is seeking a JD candidate to join their expanding Compliance organization int his role to lead form filing and regulatory review requirements.
- Assist in the preparation and submission of regulatory reports filed on behalf of the firm, and evaluate and respond to associated requests from U.S. and foreign regulators and departments such as the SEC, CFTC, NFA, U.S. Treasury, Bureau of Economic Analysis, as well the UK’s FCA, Germany’s BaFin, Italy’s CONSOB, among others
- Oversee the drafting and review of the firm’s Form ADV
- Monitor for global regulatory developments and provide updates to Compliance, as well as other groups throughout the firm, on applicable rules and filing requirements
- Develop and document internal processes and procedures related to the firm’s various filing obligations
- A J.D. degree is strongly preferred
- Excellent oral and written communication skills; must be able to confidently collaborate with senior management and various departments within the firm
- Prior experience in Compliance and Legal preferred
- Familiarity with registered investment advisers, asset management, financial products and instruments, including knowledge of complex financial derivatives
- Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines with limited supervision and exercise sound judgment
Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.