Compliance Services Consultant

This is a fully remote position, open to applicants in United States.

📋 Description

• Manage senior-level relationships with clients

• Engage with complex and diverse regulatory issues

• Provide direct support to assigned clients during routine compliance tasks and heightened regulatory situations

• Offer advice on adherence to the Investment Advisers Act, Securities Exchange Act, Investment Company Act, and other applicable regulations

• Oversee a targeted portfolio of consulting clients

• Fulfill a limited number of outsourced Chief Compliance Officer roles

• Organize and prioritize a dynamic roster of consulting clients

• Conduct annual reviews and risk assessments

• Lead designated client relationships

• Mentor and supervise junior team members in personal trade reviews, email reviews, firm trade monitoring, and restricted-list activities

• Play a key role as a lead or team member on mock examinations, risk assessments, registrations, and filings

• Collaborate with senior compliance professionals to deliver practical solutions to clients

• Primarily work with Private Funds while also supporting Retail, Institutional/RIC, and Private Fund clients

• Report to the Executive Director – Compliance Services

⛳️ Requirements

• Extensive working knowledge of relevant securities laws and regulations, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Exchange Act of 1934

• Familiarity with multi-jurisdictional and international regulations such as major shareholding, position limits, AIFMD, and others

• Specialized hands-on experience with private fund structures including private equity, private credit, real estate, and hedge fund managers

• Excellent written and verbal communication skills, with the ability to engage professionally with clients, including C-Suite executives and regulators

• Proficient in regulatory filing platforms such as IARD, CRD, PFRD, and EDGAR

• Skilled in the Microsoft product suite

• Capable of using artificial intelligence to enhance efficiency

• Proven ability to interpret regulatory requirements and offer practical compliance solutions

• Bachelor’s degree or a combination of relevant experience and industry certification

• 7+ years of experience in the regulated investment sector, with a strong focus on compliance

• 3+ years of experience as an in-house Chief Compliance Officer

• Law degree or equivalent is a plus

• Professional designations or industry licenses (IACCP, CAMS, CRCP, CFE) are a plus

🏝️ Benefits

• Generous Time Off packages including additional half days with each public holiday in your location

• Global Career Development opportunities

• Social Events

• Referral Bonus scheme - Up to $3,000 per successful referral

• Flexible working options for all employees