Job Overview – Associate Director/Director (Compliance Consulting):
Are you currently in a Senior Investment Advisor Compliance role at a hedge fund, PE firm, or consulting firm? Our client is seeking an experienced Associate Director/Director to join their compliance team in New York City. This hybrid role involves overseeing client regulatory compliance matters for various clients, including asset managers, hedge funds, private equity, real-estate clients, banks, and broker-dealers.
Location: New York, NY (Hybrid)
Compensation: $185,000 – $230,000/year + bonus
Schedule: Monday to Friday (3-4 Days In Office)
Responsibilities as the Associate Director/Director (Compliance Consulting):
- Sales Cycle Management: Lead or support the entire sales cycle, including pitches, proposals, follow-ons, and general contract terms.
- Client Oversight: Provide primary day-to-day oversight for a large portfolio of clients, ensuring compliance with regulatory matters.
- Regulatory Compliance: Have deep familiarity with SEC, CFTC/NFA, and FINRA rules and other applicable regulators.
- Mock Examination Audits: Conduct regulatory mock examination audits, including documentation requests, onsite reviews, interviews, and report drafting.
- Policy Development: Lead clients in developing relevant policies and procedures for compliance manuals, code of ethics, and other documented areas.
- Compliance Protocols: Lead compliance protocols and training on expert networks, MNPI, marketing, personal trading, electronic communications surveillance, and best execution.
- Risk Management: Anticipate client regulatory risks and expectations, focusing resources on necessary tasks without compromising quality.
Qualifications for the Associate Director/Director (Compliance Consulting):
- Education: Undergraduate degree from college or university; J.D. or advanced degree is a plus.
- Experience: 7-10 years of industry experience at asset managers, law firms, advisory services firms, or as an ex-regulator.
- Consulting Knowledge: Experience in Compliance Consulting is a plus but not required.
- Skills: Strong interpersonal, written, and verbal communication skills; ability to work independently or as part of a team.
- Attributes: Independent, self-starter, entrepreneurial mindset, collaborative problem solver, strong analytical and research skills.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.