What are the responsibilities and job description for the SVP, Regulatory Attorney position at TBG | The Bachrach Group?
Our client is a global, multi-strategy investment management firm looking to add a high caliber Regulatory Attorney to join their first in class Compliance program. This is a generalist role; ideal candidate will have a broad Investment Advisor/PE Compliance background.
Key responsibilities will include:
Regulatory filings (Forms ADV, Form PF, Reg D, AIFMD)
206(4)-7 Annual Review
Policies and Procedures
Strategic advice on regulatory matters
Compliance Training
Assist on new product development
Compliance with investor side letter obligations
Develop key ESG/Sustainability workstreams
Support firm-wide Legal & Compliance initiatives
Qualifications:
A JD with 7 years of relevant regulatory/compliance experience at a law firm or at an asset manager or private equity firm).
Familiarity with SEC, CFTC and European securities laws and regulations
Ideally experience with both Private and Registered Funds
Salary : $200,000 - $300,000
