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 regulators like the SEC and CFTC
Supporting regulatory examinations by the SEC, NFA, and state regulators
Investigating and resolving compliance issues per client policies
Monitoring regulatory developments and assessing impact on clients

🎯 Requirements

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

🎁 Benefits

Hybrid work model in major U.S. cities

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