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Remote Compliance Specialist
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- The ideal candidate is not only well-versed in traditional forms of investment such as public/private equity, debt, and real estate, but is also comfortable with contemporary forms of alternative investments such as crypto/blockchain, cannabis, and internet-based investing.
- Participate in new client onboarding: interview key personnel, review existing compliance program materials, perform gap analysis
- Analyze, prepare, and submit other regulatory filings such as Form D and Blue Sky filings, 13D/G, 13F, 13H, and Form PF
- Assist clients in the performance of compliance functions such as overseeing trade matters (i.e., client suitability/KYC, due diligence, insider trading), providing ethics training to investment adviser representatives, email review, etc.
- of relevant compliance experience at a registered investment adviser, exempt reporting adviser, private fund manager, dual-registered broker dealer, securities law firm, or compliance consulting firm
Expired 14 days agoInactive Job
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