Sr Associate - Compliance

Compliance Associate

Key Responsibilities

• Develop internal policies and procedures and current regulatory guidance with respect to marketing and other related compliance matters, and assist maintaining broader L&C policies and procedures.
• Develop educational materials and trainings for business professionals.
• Assess current and prospective regulatory risk through industry interaction and research.
• Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g. quarterly letters, recordings, memoranda, etc.) across various investment strategies from a legal, regulatory, and compliance perspective;
• Supervising a variety of regulatory filings with the SEC, CFTC / NFA, and other international regulatory bodies, in collaboration with Rialto's operations and finance teams.
• Assisting in management of all aspects of trade restrictions including analyzing potential MNPI, clearing trades, and maintaining the restricted list on an ongoing basis.
• Work with team in responding to requests from regulators, preparing for regulatory examinations, and conducting mock examinations in conjunction with external consultants and counsel.
• Supporting the implementation and maintenance of the firms' compliance programs.
• Engaging in meaningful interactions with Rialto's investment and operational professionals on a wide range of business matters.

Specifications

• 8+ experience in a compliance role within a hedge fund, private equity fund, compliance consultancy, financial services firm, or as a practicing funds lawyer, with in-depth knowledge of the Investment Advisers Act of 1940.
• Bachelor's degree from an accredited institution is required.
• Demonstrated experience with the development, implementation, and oversight of compliance policies and procedures.
• Strong attention to detail and analytical skills.
• Strong analytical skills with the ability to interpret complex regulatory requirements and provide practical, business-oriented advice.
• Strong project management and organizational skills with ability to manage multiple and sometimes conflicting demands.
• Highly effective oral and written communication skills and ability to communicate confidently and effectively.
• Ability to work independently while remaining a strong team player who works collaboratively and builds strong working relationships.
• Proactive management skills and the ability to manage projects independently and to conclusion; and
• Substantial initiative, creativity and drive and the ability to implement a measured approach under competing demands and with confidence.

While performing the duties of this job, the Associate is occasionally required to stand; walk; sit; use hands to finger, handle, or feel objects, tools or controls; reach with hands and arms; climb stairs; balance; stoop. The Associate must occasionally lift and/or move up to 25 pounds. Evening or weekend work may be necessary to meet deadlines.

This description outlines the basic tasks and requirements for the position noted. It is not a comprehensive listing of all job duties.

Rialto Capital is committed to the principles of Equal Employment Opportunity. Our policy is to provide equal employment opportunity to all applicants and Associates without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity or expression, national origin, age (40+), disability, veteran status, genetic information (including family medical history), or any other legally protected status.

Our company uses E-Verify to confirm the employment eligibility of all newly hired employees.

To learn more about E-Verify, including your rights and responsibilities please visit: e-verify.gov.