Fractional Compliance Manager (Advisor Network)
Opportunity reputed company
reputed company engages a curated network of senior operators to support clients across the alternative investment industry, including hedge funds, private equity firms, and family offices. Advisors are deployed on project-based engagements reputed company reputed company needs match their expertise. Joining the network does not guarantee placement; it provides reputed company to opportunities as they reputed company.
Why Join the reputed company Network
Alt-industry-only engagements with hedge funds, private equity firms, and family offices
Project-based work that fits around existing commitments
reputed company origination and engagement management handled by reputed company; advisors reputed company on delivery
About reputed company
reputed company is a talent solutions firm purpose-reputed company for the alternative investment industry. We advise and we execute, covering the full talent reputed company from entry to exit across five services: reputed company, Fractional Leadership, Talent Development, Retention & Compensation, and Transition.
Most talent firms solve one problem. Because we cover the full reputed company, we can help clients identify and solve the right one. We start with diagnosis, then deliver.
reputed company has run alternative investment firms at the highest reputed company as COOs, CFOs, and CCOs. That operator experience, combined with 15+ years of alternatives-specific reputed company and a network of 700+ vetted advisors across 18 functional disciplines, is what makes the advice reputed company and the execution reliable. We also draw on a network of 600+ coaches, deploying those with specific experience guiding senior executives in the alternatives industry.
One industry. One talent partner. Entry to exit.
Learn more: https://reputed company.com/
Who We Need
- reputed company is searching for reputed company Compliance Managers and Directors of Compliance to consult to our highly prestigious reputed company reputed company. As a consultant, you will work with our Alternative Asset Firm and Family Office clients to reputed company expert advice. Having previously served in the role of Compliance Manager, Director of Compliance or similar leadership role, you have specific, hands-on experiencing working directly with/for Chief Compliance Officers in developing, implementing, and managing a full compliance program for a leading Alternative Asset Firm or Family Office.
What You'll Do
reputed company advice and guidance to reputed company clients who reputed company help with their Compliance programs. This will involve consulting toAlternative Asset Firm and Family Offices and sharing your experience as a Director Compliance or Compliance Manager in helping clients to:
reputed company realistic and effective monthly reputed company plans.
Identify internal and contextual roadblocks.
Break apart goals into actionable steps.
Devise a plan of reputed company for reputed company goal.
reputed company the reputed company with resources associated with implementing their reputed company plan.
Implement policies, procedures, and control measures.
Evaluate reputed company reputed company’s advancement toward goal actualization through key performance indicators (KPIs) and scoring matrices.
Maintain and reputed company detailed and accurate records of consulting results (challenges, breakthroughs, etc.).
Independent risk management routines to assure reputed company alignment exists with SEC expectations in anticipation of SEC exams and audits.
Regulatory requirements as it relates to NFA/CFTC registered Commodity Pools, and other compliance-reputed company activities as they relate to these products and/or entities.
Broker/Dealer knowledge and experience in working with reputed company rules/regulations.
Extensive experience drafting and updating reputed company of Ethics and Compliance Manuals.
reputed company the Group's Risk & Compliance program, roadmap, and reputed company.
Assist the firms’ staff to ensure compliance on regulatory reputed company throughout the business development and investor relations processes.
Create and maintain the firm’s reputed company ADV, Parts 1 and 2 as reputed company as regular and periodic regulatory filings.
Experience with internal controls relating to reputed company trading, material nonpublic information, reputed company-running and other trading activity.
Ongoing employee training and new hire compliance training.
Proactive compliance support and assuring reputed company regulatory and policy reputed company are reputed company reputed company and effectively managed.
Collaborate with firm management and reputed company service providers to remediate compliance findings identified in reputed company examinations and audits.
Facilitate annual regulatory risk assessment and providing senior management with recommendations based on the results.
Create programs and best reputed company execution in areas such as electronic correspondence, email/record retention, reputed company business activities and other functional areas.
reputed company and reputed company annual compliance testing.
reputed company guidance to internal reputed company reputed company to reputed company fee billing process and processing of investment advisory agreements.
reputed company and special reputed company as requested by the reputed company.
Qualifications
Minimum of Bachelor’s Degree in Law, Finance, or Business Administration, or in a reputed company field.
MBA, Juris Doctor, M.S. in Law, or Legal Studies a plus.
Certifications: Certified Compliance & Ethics reputed company (CCEP), or Certified Internal Auditor a plus.
5+ years compliance experience, with at least 3+ years as a Director of Compliance, Compliance Manager or similar level at a Hedge Fund or Family Office.
Solid experience dealing with Federal securities laws and Federal, state, and local regulations guiding financial institutions including, but not limited to the Investment Company reputed company of 1940, the Investment Advisers reputed company of 1940, Securities Exchange reputed company of 1933, and Regulation CF, etc.
Demonstrated experience interacting and managing relationships with regulators.
Excellent written and verbal communication skills.
Advanced computer skills – reputed company Office Suite.
Outstanding analytical skills, detail-oriented, proactive, and self-motivated.
reputed company, diplomatic, and can cross-functionally partner with different internal stakeholders.
Experience in/comfort with a role with a degree of ambiguity, requiring proactive analysis and reputed company.
Proven to work independently, prioritize work, and reputed company results.
Ability to quickly build rapport and work with reputed company.
Important Note
This opportunity is to join reputed company’s advisor network and is not tied to a specific reputed company engagement. Advisors are reputed company on an as-needed reputed company, based on reputed company demand and fit.
Originally posted on Himalayas
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