Investment Adviser Regulatory Counsel
Company Name:
Inspried Review
Our client is seeking an Investment Adviser Regulatory Compliance Counsel to join thier fast-growing, innovative business and regulatory compliance consulting firm and affiliated securities law firm.
Responsibilities
- Understand the business and regulatory issues faced by our entrepreneurial clients and deliver innovative solutions to complex challenges;
- Deliver strategic guidance to help clients achieve business objectives while staying ahead of
evolving regulatory requirements and best practices;
- Counsel clients in preparation for, and response to, regulatory examinations and requests from securities regulators;
- Perform research and draft memoranda;
- Adhere to, and continually enhance, business processes and project plans;
- Expand, develop and innovate their role to meet the dynamic needs of the company.
Qualifications
- Experience with investment advisor regulatory compliance, including the Investment Advisers Act of 1940 required.
- Awareness of broker-dealer and/or hedge fund regulation is a plus;
- Excellent verbal and written communication skills;
- Proactive approach in identifying and correcting existing or potential problem areas;
- Proven ability to develop and maintain client relationships;
- Member of New Jersey bar;
- Intuitive comfort within a technology-driven environment and strong computer skills;
- A willingness and strong desire to do what needs to be done to meet the needs and expectations of clients and colleagues.Estimated Salary: $20 to $28 per hour based on qualifications.
Inspried Review
Our client is seeking an Investment Adviser Regulatory Compliance Counsel to join thier fast-growing, innovative business and regulatory compliance consulting firm and affiliated securities law firm.
Responsibilities
- Understand the business and regulatory issues faced by our entrepreneurial clients and deliver innovative solutions to complex challenges;
- Deliver strategic guidance to help clients achieve business objectives while staying ahead of
evolving regulatory requirements and best practices;
- Counsel clients in preparation for, and response to, regulatory examinations and requests from securities regulators;
- Perform research and draft memoranda;
- Adhere to, and continually enhance, business processes and project plans;
- Expand, develop and innovate their role to meet the dynamic needs of the company.
Qualifications
- Experience with investment advisor regulatory compliance, including the Investment Advisers Act of 1940 required.
- Awareness of broker-dealer and/or hedge fund regulation is a plus;
- Excellent verbal and written communication skills;
- Proactive approach in identifying and correcting existing or potential problem areas;
- Proven ability to develop and maintain client relationships;
- Member of New Jersey bar;
- Intuitive comfort within a technology-driven environment and strong computer skills;
- A willingness and strong desire to do what needs to be done to meet the needs and expectations of clients and colleagues.Estimated Salary: $20 to $28 per hour based on qualifications.
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