Manager, Regulatory and Compliance
$110,000–$135,000 year
HybridNew York City, New York, United States or New York, United States
Job Summary
Manage day-to-day compliance monitoring activities across client engagements for investment advisers and private fund managers. Review outputs from compliance testing programs including personal trading monitoring, restricted list reviews, and trade surveillance. Assist clients with preparation of regulatory filings including Form ADV updates and support annual compliance program reviews and risk assessments. Supervise Senior Associates responsible for compliance testing and operational monitoring while assisting with mock regulatory examinations and regulatory readiness assessments. Support onboarding new compliance consulting clients and help design tech-enabled compliance solutions.
Required Qualifications
- Bachelor's degree in Finance, Accounting, Business Administration, Economics, or a related field
- 4+ years of investment adviser compliance experience within a consulting firm, law firm, or registered investment adviser
- Working knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements
- Experience supporting compliance monitoring programs for registered investment advisers
- Ability to review compliance testing outputs including personal trading monitoring, restricted list reviews, and surveillance activities
- Strong analytical and problem-solving skills
- Strong written documentation and reporting skills
- Ability to manage multiple tasks and deadlines in a consulting environment
- Effective communication skills for working with clients and internal teams
- Proficiency with Microsoft Office
- Experience using Claude or other AI agents in a compliance setting
- Ability to thrive in a tech-enabled environment
- Location in or near Boston, New York, Dallas, Miami, Chicago, San Francisco, or Los Angeles
- Hybrid work flexibility
Desired Qualifications
- Juris Doctor (J.D.)
- Investment Adviser Certified Compliance Professional (IACCP)
- FINRA securities licenses (Series 7, 24, 63, or 65)
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