What are the responsibilities and job description for the Senior Associate / Associate Director - Compliance Consultant position at Atlantic Group?

Senior Associate / Associate Director - Compliance Consultant

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 :

Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus

6-8 years of total industry experience working at one or more asset managers (in-house), law firm (paralegal), advisory services firm or ex. regulator

Strong inter-personal skills, ability to independently (or as part of a team) work on-site at a client office

Excellent written and verbal communication skills

Independent, self–starter, entrepreneurial mind-set, as well as collaborative problem solver

Strong analytical and research skills

Ability to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environment

Ability to master new tasks quickly and effectively

Must have the ability to start with limited restrictions

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Salary : $130,000 - $180,000

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Senior Associate / Associate Director - Compliance Consultant

What are the responsibilities and job description for the Senior Associate / Associate Director - Compliance Consultant position at Atlantic Group?

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Job openings at Atlantic Group

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