Support a varied portfolio of clients across the investment management sector in a client-facing
Assist with day-to-day compliance topics such as personal trading, email reviews, and monitoring.
Prepare and submit regulatory filings (e.g., Form ADV, Form 13).
Manage client registrations with regulators (SEC, CFTC) and support regulatory examinations.
Review materials to ensure alignment with Advisers Act and other requirements.
Participate in annual compliance training and produce high-quality work across assignments.

🎯 Requirements

Bachelor’s degree
1 to 3 years of relevant compliance experience
Knowledge of CFTC, NFA, SEC 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 advantageous

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