Support clients with a broad range of compliance matters in investment management
Advise on day-to-day topics like personal trading, email reviews, and monitoring
Prepare and submit regulatory filings (e.g., Form ADV, Form 13)
Manage registrations with regulators (SEC, CFTC) and assist with regulatory examinations
Investigate and resolve compliance issues in line with client policies
Monitor regulatory developments and analyze impact on clients

🎯 Requirements

Bachelor’s degree or equivalent
1–3 years in compliance (investment adviser, law firm, bank, or similar)
Knowledge of CFTC, NFA, SEC examination practices a plus
Strong MS Office skills (Teams, Excel, Word, Outlook, PowerPoint)
Experience with MyComplianceOffice and Global Relay is advantageous

🎁 Benefits

Core values include client centricity, ambition, agility, collaboration, and ethics
Equal opportunities and inclusive environment

Apply on employer's website

This employer gathers applications via their own applicant tracking system.

You will be redirected to an external application form.

Share job

Meet JobCopilot: Your Personal AI Job Hunter

Automatically Apply to Legal Jobs. Just set your preferences and Job Copilot will do the rest — finding, filtering, and applying while you focus on what matters.

Activate JobCopilot