National Society of Compliance Professionals
Managing Director, Regulatory Compliance
National Society of Compliance Professionals, Melville, New York, us, 11775
Managing Director, Regulatory Compliance
Location:
Melville, New York
MUST BE ABLE TO COMMUTE TO MELVILLE, NY 5 DAYS PER WEEK
Overview
Asgard Regulatory Group is a fast-growing compliance services firm dedicated to helping regulated businesses navigate the complex world of compliance, risk, and governance. We pride ourselves on providing expert, customized compliance solutions that mitigate risk and support sustainable growth.
Role Summary
This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem solving, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well‑thought‑out decisions. This position requires little delegation of details or responsibilities; it is important that close, quick, and critical follow‑up occur to recognize and correct mistakes. The work schedule will be dictated by client needs, workflow, and current deadlines. This hire will join the firm’s compliance team in the assessment, development, implementation, and testing of compliance programs for clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing regulatory exam support and outsourced Chief Compliance Officer (CCO) functions.
Responsibilities Include, But Are Not Limited To
Perform compliance testing, documentation, and implementation of changes to policies and procedures as well as coordinating communications of same
Assist client with monthly, quarterly and or annual compliance reporting, testing & surveillance, checklists, certifications, acknowledgments including exception follow‑up, if any, such as with Code of Ethics, Personal Trading, Account Statements, etc
Oversee the monitoring of clients’ employees’ electronic communications
Authorization to approve regulatory filings and resolve compliance issues
Participate in marketing material review and file necessary documents with regulators
Manage Code of Ethics pre‑approval requests for personal trading, outside business activities, pay‑to‑play, and gifts & entertainment
Coordinate with service providers and manage the compliance testing program, including testing the firm’s Business Continuity Plan and Cybersecurity Plan, and other such annual requirements
Conduct compliance reviews and internal control testing
Continuously monitor relevant changes and assist clients in developing internal controls, accordingly
Draft, review and update compliance policies and procedures manuals, business continuity plans, and anti‑money laundering policies and procedures
Prepare and deliver compliance training programs such as the annual compliance meeting
Processing CRD and/or EDGAR regulatory filings
Investment advisory compliance experience is required
Providing regulatory filing services at the firm and individual level, including but not limited to Form U4s, U5s, Form BD amendments, Form BRs, Form ADV, CRD/IARD, EDGAR regulatory filings
Lead and/or oversee audits from auditors such as FINRA, the SEC and/or state regulatory authorities
Education And Experience Qualifications
Undergraduate degree required
10+ years of broker dealer and/or investment advisor compliance related experience
Series 7 and 24 preferred and/or other relevant licenses
Strong working knowledge of the IA Act of 1940
Strong knowledge of FINRA rules and regulations
Knowledge of SEC exam practices, experience with SEC exams and mock exams preferred
Excellent written and verbal communication skills
Must be able to work from our office in Melville, NY
Experience with compliance program development
Independent self‑starter and ability to work with teammates
CCO experience preferred
Previous consulting experience preferred
Compensation
The anticipated base salary range for this position is $150,000 – $175,000 per year and a full benefits package is offered.
To apply: Send CV to taylor@asgardcompliance.com
#J-18808-Ljbffr
Melville, New York
MUST BE ABLE TO COMMUTE TO MELVILLE, NY 5 DAYS PER WEEK
Overview
Asgard Regulatory Group is a fast-growing compliance services firm dedicated to helping regulated businesses navigate the complex world of compliance, risk, and governance. We pride ourselves on providing expert, customized compliance solutions that mitigate risk and support sustainable growth.
Role Summary
This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem solving, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well‑thought‑out decisions. This position requires little delegation of details or responsibilities; it is important that close, quick, and critical follow‑up occur to recognize and correct mistakes. The work schedule will be dictated by client needs, workflow, and current deadlines. This hire will join the firm’s compliance team in the assessment, development, implementation, and testing of compliance programs for clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing regulatory exam support and outsourced Chief Compliance Officer (CCO) functions.
Responsibilities Include, But Are Not Limited To
Perform compliance testing, documentation, and implementation of changes to policies and procedures as well as coordinating communications of same
Assist client with monthly, quarterly and or annual compliance reporting, testing & surveillance, checklists, certifications, acknowledgments including exception follow‑up, if any, such as with Code of Ethics, Personal Trading, Account Statements, etc
Oversee the monitoring of clients’ employees’ electronic communications
Authorization to approve regulatory filings and resolve compliance issues
Participate in marketing material review and file necessary documents with regulators
Manage Code of Ethics pre‑approval requests for personal trading, outside business activities, pay‑to‑play, and gifts & entertainment
Coordinate with service providers and manage the compliance testing program, including testing the firm’s Business Continuity Plan and Cybersecurity Plan, and other such annual requirements
Conduct compliance reviews and internal control testing
Continuously monitor relevant changes and assist clients in developing internal controls, accordingly
Draft, review and update compliance policies and procedures manuals, business continuity plans, and anti‑money laundering policies and procedures
Prepare and deliver compliance training programs such as the annual compliance meeting
Processing CRD and/or EDGAR regulatory filings
Investment advisory compliance experience is required
Providing regulatory filing services at the firm and individual level, including but not limited to Form U4s, U5s, Form BD amendments, Form BRs, Form ADV, CRD/IARD, EDGAR regulatory filings
Lead and/or oversee audits from auditors such as FINRA, the SEC and/or state regulatory authorities
Education And Experience Qualifications
Undergraduate degree required
10+ years of broker dealer and/or investment advisor compliance related experience
Series 7 and 24 preferred and/or other relevant licenses
Strong working knowledge of the IA Act of 1940
Strong knowledge of FINRA rules and regulations
Knowledge of SEC exam practices, experience with SEC exams and mock exams preferred
Excellent written and verbal communication skills
Must be able to work from our office in Melville, NY
Experience with compliance program development
Independent self‑starter and ability to work with teammates
CCO experience preferred
Previous consulting experience preferred
Compensation
The anticipated base salary range for this position is $150,000 – $175,000 per year and a full benefits package is offered.
To apply: Send CV to taylor@asgardcompliance.com
#J-18808-Ljbffr