Support a portfolio of clients in investment management
Provide day-to-day compliance guidance on topics like personal trading and filings
Assist with regulatory filings (Form ADV, Form 13) and registrations with regulators
Assist with regulatory examinations by SEC, NFA, state regulators
Review materials to ensure adherence to Advisers Act and regulations
Collaborate with regulators, clients, and internal teams including CFO

🎯 Requirements

Bachelor’s degree
1 to 3 years in compliance, asset management or related field
Knowledge of CFTC, NFA, SEC exam practices is a plus
Strong MS Office skills (Teams, Excel, Word, Outlook, PowerPoint)
Excellent written and verbal communication
Experience with MyComplianceOffice and Global Relay is an advantage

🎁 Benefits

Salary range US$96,000 – US$120,000
Hybrid work model in key U.S. cities
Opportunity to grow in regulatory and compliance career
Client-facing role with exposure to multiple regulators

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