Connecting linkedin

W1siziisimnvbxbpbgvkx3rozw1lx2fzc2v0cy9oyw1sew4td2lsbglhbxmvanbnl2jhbm5lci1kzwzhdwx0lwpvyi5qcgcixv0

Job

Regulatory Compliance Officer

We are wiring with a large and expanding Consultancy, who are hiring for senior level individuals to focus on the Asset Management clients. This opportunity is a Regulatory Compliance Officer and will be located primarily in San Francisco. Travel will be required and here is the overview of the role:

Responsibilities:

  • Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
  • Reviewing marketing and advertising materials for compliance.
  • Review of clients’ AML compliance documents
  • Monitor clients’ firm trading activities (email review, compliance firm functions) and maintain restricted lists.
  • Conduct training of our clients' employees and management regarding the Advisers Act; conflicts of interests, insider trading, cross trades)
  • Design and monitor surveillance programs, testing systems, and technology infrastructure

Qualifications:

  • Bachelor’s degree  
  • 4+ years of relevant compliance experience at a registered investment adviser, law firm, or consulting firm
  • Strong working knowledge of both FINRA, CFTC, NFA and SEC Exam practices is also needed
  • A JD is Preferred

If this opportunity interests you, please get in touch with an updated resume!