Manager- Regulatory Compliance (Alternative Assets)
Core
Managing client engagements to provide strategic compliance guidance, ensuring timely regulatory filings, and supporting SEC/FINRA examinations for alternative and traditional investment sectors.
Role type
Manager, Regulatory Compliance
Builds
Client compliance programs, regulatory filings, and internal controls for investment firms
Domain
Financial Services / Investment Management / Regulatory Compliance
Deliverable
client delivery
Required skills
Regulatory analysis, program development, exam support, policy updates, client training, internal controls design
Preferred skills
Experience with registered investment advisers, law firm background, Investment Advisers Act knowledge, Investment Company Act knowledge, CFTC/NFA framework understanding
Technologies
PowerU, MyCampus
Responsibilities
Manage client engagements and provide strategic compliance guidance; Ensure timely completion of annual reviews and regulatory filings; Lead client trainings and mock regulatory exams; Support firm during SEC and FINRA examinations; Guide clients in developing internal controls and adapting to regulatory changes; Mentor junior staff and support business development initiatives
Seniority
Manager, hands-on IC with mentorship