Our client, a leading US consulting firm providing investment advisers and broker dealers compliance services, are looking to hire consultants at all levels in New York, Chicago and San Francisco. You will be responsible for providing tailored compliance and regulatory support to SEC registered & unregistered investment advisors, broker dealers and CPO/CTAs.
The ideal candidate must have experience in the private fund compliance field and/or broker dealer compliance field and/or at a regulator handling examinations and regulatory issues. Knowledge of the Investment Advisers Act of 1940 is required with CFTC/FINRA/NFA broker dealer compliance a plus. Compensation is competitive and commensurate with industry experience.
For more information, and a discussion in confidence, please contact Benjamin Ellison on +1 646 766 1212 or