Compliance Associate - Investment Firm

The role requires 3 days per week in the midtown office.

Responsibilities:

• Prepare regulatory filings primarily in the US, and also UK and HK
• Partner closely with the CCO, in developing and implementing policies and procedures for a US registered investment adviser and UK/HK affiliates, with a specific emphasis on the Investment Advisers Act, the Investment Company Act, FCA (UK) and SFC (HK) and related rules and regulations
• Collaborate with compliance staff to support the firm’s business units, designing and reviewing automated compliance monitoring reports, and ensuring firm and employee adherence to compliance policies
• Assist in the 206(4)-7 annual review and amendments to Form ADV and other applicable regulatory reporting requirements with the SEC, SFC and FCA
• Managing and monitoring electronic communications in compliance with regulatory requirements
• Assist in the review of standard materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs
• Staying up-to-date with regulatory changes, updating CCO on suggested adjustments to business practices
• Strong understanding of the regulatory environment, including the latest changes and trends
• Help develop and conduct training and education to staff relating to policies and procedures and any amendments
• Work on long-term projects to maintain the firm’s high compliance standards with new and existing regulations

Qualifications:

• 2+ years’ Investment Compliance experience at an RIA, Asset Manager, Hedge Fund or Compliance Consultancy firm
• Knowledge of international regulations such as the FCA (United Kingdom), SFC (Hong Kong) and 1940 Act/SEC (United States)
• Proven track record in preparing and submitting regulatory reports
• Knowledge of ComplySci system is advantageous
• Proficiency with Google Suite (especially Gmail, Calendar, GDocs, and GSheets) and Microsoft Office (Word, Excel, PP)
• High level of integrity and discretion in handling confidential information
• Bachelor Degree or higher

If your profile matches the above criteria, please email me and add me on LinkedIn, Trishan Khareghat