Support clients with a broad range of compliance matters for investment management clients
Advise on day-to-day topics such as personal trading, email reviews, and monitoring
Prepare and submit regulatory filings (Form ADV, Form 13)
Manage client registrations with regulators like the SEC and CFTC
Assist with regulatory examinations by SEC, NFA, and state regulators
Monitor regulatory developments and assess impact on clients

🎯 Requirements

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

🎁 Benefits

Core values: Client Centric, Ambitious, Agile, Collaborative, Ethical
Equal opportunities employer
Supportive, global team with growth opportunities

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