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General Counsel Consulting

General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.

Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Counsel Jobs > Registered Investment Adviser/ Private Funds Attorney & Deputy Compliance Officer Job in New York > Registered Investment Adviser/ Private Funds Attorney & Deputy Compliance Officer

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Registered Investment Adviser/ Private Funds Attorney & Deputy Compliance Officer

Refer job# QQMQ147093

Registered Investment Adviser/ Private Funds Attorney & Deputy Compliance Officer Duties: Work with and report directly to the General Counsel. Supervise regulatory and compliance matters across the company s asset management businesses. Prepare regulatory filings (including Form ADV, Form PF, CA DBO filings and other filings). Manage periodic audits and SEC exams, CA DBO exams and FINRA inquiries. Prepare of 206(4)-7 annual compliance program assessment report. Monitor and perform periodic compliance testing (e.g., trade allocations, expense allocations, trade errors, principal and cross trades, conflicts flagging and consent tracking, tax seasoning guidelines, personal trading, email review etc.). Perform annual audits of third-party vendors (e.g., external managers, custodians, depositaries, administrators). Advise on foreign marketing rules, and review and comment on fund marketing materials and related disclaimers and disclosures. Assist in on-boarding of new fund clients, and tracking of reporting and side letter obligations. Prepare and update policies and related training materials, and conduct periodic employee training and testing. Assist with conflicts reviews, and AML and know-your-client requests and procedures. Provide support for various ad hoc compliance and regulatory projects; ongoing data analytics and technology project work designed to support and enhance the compliance program. Qualifications: Candidate should have 6-10 years of legal and compliance experience supervising regulated investment advisers (including managing SEC exam responses) at an investment bank, investment manager or major law firm. Working knowledge of the Investment Advisers Act, the Investment Company Act and other regulations relevant to private funds and investment advisory businesses.

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