Associate Director Senior Compliance Consultant - Regulatory Compliance Consulting · Private Funds

Associate Director

Senior Compliance Consultant - Regulatory Compliance Consulting · Private Funds

LOCATION - New York

FUNCTION - Regulatory Compliance Consulting

LEVEL - Senior Consultant

About the firm

Our client is a growing regulatory compliance consulting firm with offices in New York and London. The firm provides high-touch, high-value advisory services to investment managers in a collaborative environment focused on practical advice, strong client service and continuous development.

Role purpose

The Senior Compliance Consultant independently delivers defined client engagements and workstreams for investment advisers to private funds and separately managed accounts. The role acts as a day-to-day client contact, produces high-quality technical work and manages delivery within an agreed scope, with Director oversight for material technical, regulatory, commercial and relationship matters.

Key responsibilities

CLIENT DELIVERY AND ENGAGEMENT MANAGEMENT

• Lead defined client engagements or workstreams and serve as a day-to-day contact for assigned client stakeholders.
• Act as an Outsourced Chief Compliance Officer for small investment managers.
• Manage agreed deliverables, timelines and budgets within the approved scope, promptly escalating material variances or risks.
• Provide practical, risk-based guidance on routine and moderately complex SEC and CFTC/NFA compliance matters, seeking senior input as necessary.
• Maintain clear documentation and client communications across multiple assignments.

REGULATORY PROGRAMS AND DELIVERABLES

• Draft and tailor compliance policies, procedures, risk assessments, testing plans and client communications for review where required.
• Prepare SEC and CFTC/NFA registrations and regulatory filings, including Form ADV, Form PF, CPO-PQR, CTA-PR and Form 13H, as applicable.
• Execute annual compliance reviews under Advisers Act Rule 206(4)-7, including testing, documentation review, issue identification and report drafting.
• Perform periodic compliance testing, including electronic communications testing, and support marketing reviews.
• Support SEC mock examinations, document requests, issue remediation and regulatory readiness exercises.

TEAM AND FIRM CONTRIBUTION

• Coordinate with colleagues in New York and London on multi-jurisdictional matters and shared client delivery.
• Share technical knowledge, contribute to templates and internal resources, and provide informal guidance to less experienced colleagues.
• Participate in client training, industry events, proposals and other business development initiatives as requested.

Experience and qualifications

Experience

6+ years of relevant compliance experience in consulting, an asset or private fund manager, a regulator, or a combination of these environments.

Technical knowledge

Strong working knowledge of the Investment Advisers Act of 1940 and SEC requirements applicable to investment advisers, with practical exposure to private funds.

Delivery

Hands-on experience preparing regulatory filings, conducting compliance testing and annual reviews, and supporting regulatory examinations.

Client skills

Demonstrated ability to manage day-to-day client delivery, communicate clearly and organize competing priorities.

Working style

Sound judgment, attention to detail, accountability for deadlines and willingness to escalate material issues at the appropriate time.