Private Fund Compliance Officer

JCW Group • westchester county, ny, us • 1m ago

Role and Responsibilities

Assisting in registering clients as investment advisers with the SEC
Preparing policies and procedures, reports, memoranda and other client deliverables
Supporting senior consultants with client engagements, including tracking and monitoring, ongoing obligations and preparing for meetings and reviews
Assisting with annual compliance reviews, mock audits and SEC examinations
Conducting compliance testing, including electronic communications reviews
Assisting in the preparation of regulatory filings, including Form ADV, Form PF, Form 13H and Form 13F
Reviewing marketing materials
Assisting with the onboarding and monitoring of compliance software platforms for clients
Participating in client meetings and reviews
Assisting in conducting compliance training sessions for clients’ employees
Researching compliance issues

Skills & Experience

4-7 years of regulatory and compliance experience relating to hedge funds or private equity funds at a private fund manager, law firm, consulting firm or at the SEC
Understanding of the Investment Advisers Act
Experience assisting with the development or monitoring of compliance programs
Experience preparing regulatory filings or reviewing marketing materials is a plus
Must have strong time management skills
Strong analytical skills, independence and ability to come up with practical solutions