The Company

A client I am working with is a boutique regulatory compliance advisory firm headquartered in New York. It specialises in helping investment management firms - such as private equity, venture capital, hedge funds, crypto/digital asset managers and broker-dealers.

The Role

Client Organisation:

Prepare and update agendas for each client meeting
Create and maintain annual compliance calendars based on each client’s Compliance Program
Monitor changes to the client’s business or investment strategy
For project-based work, develop clear timelines to guide both Silver and the client through execution

Research of Requisite Securities Laws, Rules and Regulation

Build and maintain strong knowledge of regulatory requirements, particularly those set by the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC)
Continuously monitor regulatory developments and provide tailored advice to help clients comply with new and evolving requirements

Client Compliance Obligations

Draft tailored compliance policies
Forensic testing
Prepare routine and targeted compliance reports
Conduct risk-based reviews of client emails and communications
Draft and maintain compliance questionnaires
Assist with preparation and submission of filings
Develop training materials reflecting the client’s Compliance Program

Implementation and Maintenance of Compliance Platform

CCO Liaison
Personal Trading Oversight
Pre-Clearance Framework

Requirements

Knowledge of SEC and CFTC registration requirements and SEC and CFTC regulatory obligations for investment firms
Bachelor’s degree - Business major with preferred concentration in Finance, Economics, or Accounting
1-5 years compliance experience with an investment adviser, regulatory authority or compliance consultant

Angove Partners

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