What are the responsibilities and job description for the Senior Associate / Associate Director - Compliance Consultant position at Atlantic Group?
Location : San Francisco
Compensation : $130k-$180k base bonus
Responsibilities :
- Lead and support the sales cycle; pitches, proposals, and general contract terms
- Support a large portfolio of clients as the primary resource for daily oversight
- Maintain knowledge of compliance and regulatory matters relating to investment advisor and broker-dealer rules
- Understand regulatory mock examination audits, including documentation requests, onsite reviews and report drafting
- Lead clients on developing policies and procedures relating to compliance manuals, code of ethics and other areas within the business
- Lead compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 reviews, etc.
- Anticipate client regulatory risks and expectations
- Be up to date on current regulatory developments and abreast of new developments on the horizon
- Experience with Financial Conduct Authority (FCA) or other global regulators a plus
REQUIREMENTS :
