Job Description

Associate Director – Compliance Consulting

Location: Los Angeles

Firm Overview

A prominent compliance consulting firm. The firm serves clients, including hedge funds, private equity, real estate managers, banks, and broker-dealers.

Role Overview

This hire will provide senior oversight of regulatory compliance matters for a diverse portfolio of clients, ensuring they meet SEC, CFTC/NFA, FINRA, and other regulatory requirements. This is a full-time, client-facing role with significant growth and revenue-sharing opportunities.

Key Responsibilities

• Client Management: Act as the primary day-to-day compliance oversight resource for a portfolio of clients.
• Regulatory Expertise: Develop and implement policies and procedures, including compliance manuals, codes of ethics, and MNPI protocols.
• Mock Audits: Conduct regulatory mock examinations, including document reviews, onsite interviews, and report drafting.
• Training: Provide compliance training on marketing, personal trading, electronic communications surveillance, and best execution.
• Risk Management: Anticipate and address client regulatory risks, focusing on key priorities without compromising quality.
• Business Development: Support or lead sales cycles, including pitches, proposals, and follow-ons.

Qualifications:

• 5+ years in compliance within hedge funds, private equity, consulting firms, or asset managers.
• Strong knowledge of SEC, CFTC/NFA, and FINRA regulations. Experience with FCA or other global regulators is a plus.
• Education: Undergraduate degree required; J.D. or advanced degree preferred.

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