Job Description

Job Description

Job Description

Robert Half Financial Services are currently recruiting for a Compliance Associate role at a global Investment firm based in midtown Manhattan New York. Our client requires 2+ years’ Investment Compliance experience at an RIA, Asset Manager, Hedge Fund or Compliance Consultancy firm; with knowledge of international regulations such as the FCA (United Kingdom), SFC (Hong Kong) and 1940 Act/SEC (United States). The role requires 3 days per week in the midtown office.

Responsibilities:

• Prepare regulatory filings primarily in the US, and also UK and HK
• Partner closely with the CCO, in developing and implementing policies and procedures for a US registered investment adviser and UK/HK affiliates, with a specific emphasis on the Investment Advisers Act, the Investment Company Act, FCA (UK) and SFC (HK) and related rules and regulations
• Collaborate with compliance staff to support the firm’s business units, designing and reviewing automated compliance monitoring reports, and ensuring firm and employee adherence to compliance policies
• Assist in the 206(4)-7 annual review and amendments to Form ADV and other applicable regulatory reporting requirements with the SEC, SFC and FCA
• Managing and monitoring electronic communications in compliance with regulatory requirements
• Assist in the review of standard materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs
• Staying up-to-date with regulatory changes, updating CCO on suggested adjustments to business practices
• Strong understanding of the regulatory environment, including the latest changes and trends
• Help develop and conduct training and education to staff relating to policies and procedures and any amendments
• Work on long-term projects to maintain the firm’s high compliance standards with new and existing regulations

Qualifications:

• 2+ years’ Investment Compliance experience at an RIA, Asset Manager, Hedge Fund or Compliance Consultancy firm
• Knowledge of international regulations such as the FCA (United Kingdom), SFC (Hong Kong) and 1940 Act/SEC (United States)
• Proven track record in preparing and submitting regulatory reports
• Knowledge of ComplySci system is advantageous
• Proficiency with Google Suite (especially Gmail, Calendar, GDocs, and GSheets) and Microsoft Office (Word, Excel, PP)
• High level of integrity and discretion in handling confidential information
• Bachelor Degree or higher

The Compliance Associate role requires 3 days per week in the midtown Manhattan office, so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is flexible dependent on experience, the range is $100-130k base plus bonus and great benefits. If your profile matches the above criteria, please email me and add me on LinkedIn, Trishan Khareghat

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