AIS Regulatory Control Specialist III
The candidate will support management in the day-to-day control efforts related to regulatory, legal policies, procedures and practices. Will perform all assigned tasks specific to assigned product and region, including, initial reviews and analyzation of the most complex documents (TA and Fund of Funds), suspicious transaction monitoring (e.g., third party transaction wires, early redemptions, etc.), regulatory filings, etc. May also perform secondary review of work done by other regulatory control staff to ensure regulatory compliance with applicable laws and regulations related to the assigned products and assigned region. Provide oversight of day to day work activities of more junior staff. In connection with same, liaise with clients and/or internal staff regarding any of the assigned Regulatory Control tasks. Maintain a mastery knowledge level of regulatory matters specific to their product and region in order to assist AIS Regulatory Control staff in their review and analyzation of subscription documents, especially the most complex documents. Liaise with AIS clients regarding regulatory filings (specific to product and region). Will also be integrally involved in the audit and Compliance monitoring process, assisting more senior regulatory control staff with same.
The candidate should have a college degree. A J.D. degree is preferred. Must have 5+ years of relevant work experience with 2+ years in finance (including GAAP accounting and financial reporting experience) and/or compliance or a Law degree and 3 years of relevant work experience. Should also have 7+ years of experience in the securities servicing industry preferably including 3-5 years in finance, legal and/or compliance with hedge fund experience.
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