Senior Associate, Regulatory Consulting

Responsibilities:

• Assisting on a wide range of engagements interviews, document review and contribution to report development and writing. This includes working in the following areas:
• Securities rules, laws, regulations, and related compliance policies and procedures
• Assist in SEC support;
• Regulatory Due Diligence
• Governance and board effectiveness reviews
• Compliance risk reviews
• Assisting with the drafting of compliance documentation for clients (manuals and procedures, templates, risk assessments etc.);
• Assisting with ad hoc regulatory advice and solutions;
• Liaising with clients and maintaining client relationships;
• Provision of compliance monitoring services;
• Contributing to the design and implementation of compliance frameworks;
• Assisting with client proposals; 
• Networking and relationship building with industry professionals and industry bodies;
• Reporting on findings and providing recommendations for procedural improvements to meet regulatory and best practice requirements.

Requirements:

• Experience of at least 4 to 8 years within compliance and regulatory domain.
• Desired knowledge/ experience on US Federal Securities Law and Investment Advisory Act.
• Strong, independent self –starter, as well as collaborative problem solver.
• Ability to multi-task across a range of projects with constantly shifting priorities.
• Attention to detail and ability to work within time constraints.
• Exceptional oral and written communication skills.
• Experienced with Microsoft applications including Word and PowerPoint.
• Numerical proficiency.