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STP Investment Services · 4 hours ago

Compliance Consultant

United States

Full-time

Remote

Senior Level, Lead/Staff

8+ years exp

STP Investment Services is a premier, tech-enabled financial services provider, delivering comprehensive investment middle-office operations outsourcing and compliance solutions. The Compliance Consultant will provide expert advice on regulatory requirements and execute compliance-related services for clients in the investment management industry.

Financial Services

Responsibilities

Preparation, review and submission of regulatory filings, including Form ADV and Form PF

Development and maintenance of client’s written compliance policies and procedures, Code of Ethics and other policies, in collaboration with client

Deliver periodic compliance training to clients’ staff

Perform annual compliance reviews in accordance with Rule 206(4)-7 of the Advisers Act

Perform compliance reviews of client’s marketing materials

Oversee reviews of our managed services, including electronic communication reviews and Code of Ethics reviews

Provide general compliance consulting, support and guidance to clients undergoing a regulatory (SEC or state) examination

Conduct SEC mock examinations

Provide general compliance consulting applicable to a client’s business, including consulting regarding policies ancillary to the Investment Advisers Act of 1940, such as Regulation S-P and Regulation S-ID

Stay current on new and pending rulemaking applicable to registered investment advisers (e.g. AML for RIAs, Private Fund Advisers Rule)

Qualification

Investment Advisers ActRegulatory complianceCompliance trainingCompliance policies developmentClient consultingInterpersonal skillsActive listeningCommunication skills

Required

Minimum 8 years experience as a senior compliance officer or adviser for registered investment advisory firm(s), including at least 5 years of experience working with private fund advisers

Strong knowledge of Investment Advisers Act of 1940 as well as other regulations relevant to registered investment advisers

Bachelor's degree from an accredited college/university

Preferred

Experience working in a compliance environment with various types of registered investment advisers, including wealth managers and institutional asset managers