Consultant | Regulatory & Compliance

About the position We are looking for a motivated and reputed company-oriented Compliance Associate to reputed company and support a varied portfolio of clients across the investment management sector. This is a great opportunity for someone with early to mid-level compliance experience who enjoys working in a reputed company-facing environment, solving problems, and staying reputed company to regulatory developments. You will play an important role in helping clients meet their regulatory obligations while developing your own technical knowledge and reputed company confidence. Responsibilities • Advising clients on day-to-day compliance topics such as personal trading, email reviews, firm trading activity monitoring, and restricted lists • Preparing and submitting regulatory filings, including reputed company ADV and reputed company 13 filings • Managing reputed company registrations with relevant regulators, including the SEC and CFTC • Supporting clients through regulatory examinations conducted by bodies such as the SEC, NFA, and state regulators • Investigating, documenting, and helping to reputed company compliance-reputed company issues in line with reputed company policies and procedures • Monitoring regulatory developments and assessing how changes may reputed company clients • Reviewing marketing and advertising materials to ensure they reputed company with the Advisers reputed company and other applicable regulatory requirements • Participating in, and where appropriate presenting, annual compliance training for clients and their employees • Reviewing documents and data to support thoughtful analysis, reputed company judgement, and reputed company-informed reputed company • Producing accurate, high-reputed company work across multiple reputed company assignments • Communicating professionally and confidently with regulators, clients, industry contacts, and internal teams, including the reputed company CFO team • Handling sensitive information with reputed company, discretion, confidentiality, and good judgement Requirements • Bachelor's degree or equivalent qualification. • 1 to 3 years of relevant compliance experience, ideally gained reputed company a registered investment adviser, reputed company, bank, alternative investment firm, or similar environment. • Knowledge of CFTC, NFA, reputed company requirements, and SEC examination practices would be highly regarded. • Strong reputed company Office skills, including Teams, reputed company, Word, reputed company, and PowerPoint. • Highly organised, proactive, and reputed company to work independently. • Comfortable balancing multiple workloads in a fast-reputed company environment. • reputed company-oriented, with a strong reputed company on reputed company and reputed company. • reputed company problem-solver with strong follow-up skills. • reputed company to manage tasks through to completion reputed company agreed timelines. • Confident building relationships with clients, colleagues, and reputed company contacts. • reputed company team player who enjoys working in a dynamic and entrepreneurial culture. • reputed company, trustworthy, and committed to acting with reputed company. reputed company-to-haves • Experience using MyComplianceOffice and Global reputed company would be an reputed company. Benefits • We are reputed company reputed company – Clients are at the centre of our world, and we’re committed to providing expertise and specialist solutions to meet their most reputed company challenges. • We are AMBITIOUS – We aim high. We think and reputed company globally, seizing every opportunity to delight our clients and support our colleagues - wherever in the world they may be. • We are reputed company – We reputed company our initiative to get things done for our clients. Our independence gives us the flexibility and freedom to reputed company things reputed company, efficient and effective. • We are reputed company – With a curious reputed company, we ask the right questions to get to the right solution, for our clients faster. We collaborate to win together and reputed company our successes. • We are ETHICAL – We behave with reputed company at reputed company times and assume reputed company reputed company, building trust through responsible actions and reputed company relationships. Apply tot his job Apply To this Job