Compliance Specialist

About This Role

This role involves ensuring compliance with financial regulations by reviewing marketing materials, monitoring firm operations, and supporting internal audits. The Compliance Specialist will help mitigate regulatory and operational risk in a fast-paced environment.

Responsibilities

• Review and approve marketing materials, client communications, and regulatory filings to ensure compliance with SEC, FINRA, and other applicable regulations
• Monitor employee trading, private fund activity, and firm operations for adherence to internal policies and regulatory requirements
• Support periodic reporting, committee materials, and internal audits
• Assist with company-wide compliance training initiatives
• Stay current on federal, state, and international regulatory developments and evaluate their impact on business activities
• Conduct compliance testing, monitoring, and internal controls to mitigate regulatory and operational risk

Requirements

• Bachelor’s degree in Business, Finance, Economics, or related field
• 3+ years of experience in compliance oversight
• Knowledge of Investment Advisers Act, SEC, NFA, CIMA, or other global compliance regulations
• Strong analytical skills
• Attention to detail
• Ability to manage multiple priorities in a fast-moving environment
• Excellent communication and stakeholder management skills

Qualifications

• Bachelor’s degree in Business, Finance, Economics, or related field
• 3+ years of experience in compliance oversight, preferably in investment advisory, alternative investments, or wealth management

Nice to Have

• Experience in investment advisory, alternative investments, or wealth management
• Experience reviewing marketing materials, regulatory filings, and private fund compliance

Skills

* Required skills