- Preparing policies and procedures, reports, memoranda and other client deliverables
- Supporting and participating in client engagements including annual compliance program reviews and mock examinations
- Tracking and monitoring ongoing client compliance obligations
- 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
- Onboarding and monitoring compliance software platforms for clients
- Researching compliance issues
- 0-2 years of regulatory and/or compliance experience at a private fund manager, law firm, consulting firm or at the SEC
- Demonstrated prior interest in compliance preferred (e.g., college classes, internships, prior roles)
- Strong writing and analytical skills and attention to detail
- Proficient with Microsoft Office applications
Compliance Analyst - 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 today's constantly-evolving, complex regulatory landscape.
Role and Responsibilities
Cloudbreak is seeking to add at least one full-time Compliance Analyst to its team. The person will be expected to work from Cloudbreak's office in White Plains, New York at least three days per week.
Responsibilities will include:
In support of Cloudbreak's dedication to training and developing its team, the person taking this role will have exposure to various clients and topic areas and will receive training to enhance their skillset.
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.