Description
The Compliance Consultant should bring 7+ years of advanced regulatory and controls expertise to bear at one of the largest mutual fund management groups in the US. Work closely with the Risk and Compliance department to provide advice regarding complex product-specific requirements, supervisory controls procedures, and standards for communication with clients. You will also manage the rollout of new products and instruments as well as ensure proper compliance and reporting procedure with new fund launches.The Senior Compliance Consultant will be key to performing and documenting the initial and ongoing due diligence reviews of private placements, or other new products distributed through the broker dealer. Experience working with 3c funds, alternative funds is important, as is strong knowledge of FINRA and SEC rules relating to broker dealers. Series 7 and 24 is preferred (or can be obtained within 120 days), and strong experience in managing relationships with key stakeholders is a must.
Apply within for a broad and challenging role at a firm with a strong track record and an exciting future ahead.
To find out more about Huxley Associates please visit www.huxley.com