advising clients on day-to-day compliance topics such as personal trading, email reviews, firm
preparing and submitting regulatory filings, including form adv and form 13 filings
managing client registrations with relevant regulators, including the sec and cftc
supporting clients through regulatory examinations conducted by bodies such as the sec, nfa, and
investigating, documenting, and helping to resolve compliance-related issues in line with client
monitoring regulatory developments and assessing how changes may affect clients

🎯 Requirements

bachelor's degree or equivalent qualification
1 to 3 years of relevant compliance experience
experience in a registered investment adviser, law firm, bank, alternative investment firm, or
knowledge of CFTC, NFA, client requirements, and SEC examination practices
strong microsoft office skills
experience using mycomplianceoffice and global relay

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