Compliance Specialist
A growing organization is seeking an experienced compliance professional to support regulatory documentation, adviser disclosures, and compliance program administration. This role will work closely with clients and internal stakeholders to help maintain compliant business practices, develop regulatory materials, and provide guidance on adviser compliance matters.
The ideal candidate brings strong technical knowledge of investment adviser regulation, exceptional written communication skills, and the ability to manage projects independently in a client-service environment.
Responsibilities
- Partner with clients to gather, organize, and analyze information necessary for regulatory filings and compliance documentation.
- Lead the preparation and ongoing maintenance of Form ADV filings, including required updates and amendments.
- Develop and refine written compliance materials designed to support adviser regulatory obligations.
- Evaluate compliance documentation to identify inconsistencies, missing information, or potential disclosure issues.
- Assist clients in addressing questions related to regulatory filings, disclosure requirements, and compliance program documentation.
- Contribute to the enhancement of internal processes, templates, and best practices to improve efficiency and consistency.
- Stay informed of regulatory developments affecting investment advisers and incorporate relevant changes into client deliverables.
- Provide guidance to colleagues on regulatory documentation and adviser compliance matters when needed.
- Participate in training, educational initiatives, and knowledge-sharing efforts across the organization.
Requirements
- 5+ years of experience supporting investment adviser compliance programs.
- Ability to work independently, manage competing priorities, and produce high-quality work with minimal supervision.
- Experience preparing and maintaining Form ADV filings, including Parts 1, 2A, and 2B.
- Strong analytical skills and meticulous attention to detail.
- Experience supporting private equity, venture capital, or other alternative investment managers.
- Excellent written communication skills, including the ability to draft and revise regulatory and compliance documentation.
- Strong understanding of the Investment Advisers Act, Form ADV requirements, and adviser disclosure obligations.
- Experience developing, updating, and maintaining compliance policies and procedures.
- Comfortable communicating directly with clients and other stakeholders.
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.
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