- Assisting in registering clients as investment advisers with the SEC
- Preparing policies and procedures, reports, memoranda and other client deliverables
- Supporting senior consultants with client engagements, including tracking and monitoring, ongoing obligations and preparing for meetings and reviews
- Assisting with annual compliance reviews, mock audits and SEC examinations
- Conducting compliance testing, including electronic communications reviews
- Assisting in the preparation of regulatory filings, including Form ADV, Form PF, Form 13H and Form 13F
- Reviewing marketing materials
- Assisting with the onboarding and monitoring of compliance software platforms for clients
- Chaperoning expert network calls
- Participating in client meetings and reviews
- Assisting in conducting compliance training sessions for clients employees
- Researching compliance issues
- 3-5 years of regulatory and compliance experience relating to hedge funds or private equity funds at a private fund manager, law firm, consulting firm or at the SEC
- Understanding of the Investment Advisers Act
- Experience assisting with the development or monitoring of compliance programs
- Experience preparing regulatory filings or reviewing marketing materials is a plus
- Must have strong time management skills
- Strong analytical skills, independence and ability to come up with practical solutions
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Consultant - White Plains, United States - Cloudbreak Compliance Group LLC
Description
About Cloudbreak Compliance Group, LLC
Cloudbreak Compliance Group is a leading compliance consulting firm that works primarily with private funds managers. Cloudbreak seeks to provide clients with highly-tailored and business friendly solutions in todays constantly-evolving, complex regulatory landscape.
Role and Responsibilities
Cloudbreak is seeking to add a full-time Consultant to its team. The person will be expected to work from Cloudbreaks office in White Plains, New York at least three days per week.
Responsibilities will include:
Skills & Experience
Cloudbreak is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age or disability.
No recruiters please.
