Compliance Audit Contractor

  • Job ID:

  • Pay rate range:

    $90 - $110
  • City:

    New York
  • State:

    New York
  • Duration:

    08/29/2021 - 08/29/2022
  • Job Type:

  • Job Description

    The Risk & Compliance Contractor assists the US Director, Risk & Compliance/US and Canada Chief Compliance Officer (CCO) in the provision of investment compliance services and other risk & compliance matters in relation to investment activities carried out by firm investors for firm investors’ products.  This role is 100% REMOTE though candidates are preferred to reside on the east coast.

    Compliance and Commercial Management

    Assist in the management, as supervised by the US Director, Risk & Compliance/CCO, of compliance with various regulations and other obligations, including:

    • Implementation and monitoring of the risk strategy, plans and policies.
    • Initial, annual, and ad hoc compliance and risk management training for existing staff.
    • Acting as a secondary point of contact for regulators (e.g. SEC, FINRA, OSC, etc.).
    • Lead the provision of compliance services for Investors (and affiliates and subsidiaries), Investors products and investments (including the making regulatory filings such as Form PFs, Form ADV, Form Ds, blue sky filings, TIC Form SLT, TIC Form S, TIC Form SHCA, CFTC annual exemption affirmations).
    • Lead annual compliance reviews for SEC Registered Investment Adviser (Rule 206(4)-7 and FINRA Broker-Dealer (Rule 3130).
    • Manage FINRA Gateway filings for the FINRA Broker Dealer and Registered Representatives and any related filings (e.g. SIPC-6/SIPC-7 filings, California state lobbyist filings)
    • Management of Compliance Monitoring function in US as it relates to internal risk & compliance reporting including Code of Ethics reporting (e.g., MyComplianceOffice matters), issues/breaches and complaint escalation, and marketing material review (e.g., Red Oak submissions).
    • Serve as deputy AML officer (US, Canada, Cayman Islands), Deputy Money Laundering Reporting Laundering (Cayman Islands), and secondary lead in the management of North America AML obligations.
    • Lead the Anti Money Laundering audit (even years only) as required under FINRA regulations.
    • Serve as 2IC/delegate in the absence of CCO.
    • Manage Canadian filings required under firm Canadian registrations (e.g., Form 45-106F1, Form 31-103F1, Form 13-502F4).
    • Assist in the management of the Insurance program (e.g., assist with renewing (US) Securities, LLC’s annual fidelity bond coverage).
    • Contributing to all other strategic projects as directed by the US Director, Risk & Compliance/CCO.
    • Supporting the delivery of risk governance within firm Investors, including management and Board committees charged with overseeing risk and compliance matters.
    • Collaborate with global stakeholders to ensure consistency in approach with respect to executing the risk and compliance program.
    • Other Risk and Compliance tasks as required


    Business Performance

    • Providing timely expert advice to the business on risk and compliance-related matters.
    • Coordinating and liaising with key internal stakeholders to successfully deliver risk and compliance projects within deadlines.
    • Assisting in the development of the Risk & Compliance team members and the overall capability of the function.

    Policy and Process Management

    • Oversee the development and ongoing management of processes that are consistent with excellent and efficient client service, investment processes and investment performance and which provide clear and easy to follow instructions for Investors staff

    EXPERIENCE Required:

    • Financial services industry experience, ideally with a SEC Registered Investment Adviser and FINRA registered firm typically 7+ years.
    • Experience working at a firm that is registered in Canada as an Exempt Market Dealer and/or Investment Fund Manager is a plus.
    • Working knowledge of regulatory compliance regulations and laws related to Cayman Islands funds is also a plus.


    • Tertiary qualifications in IT, commerce, accounting, finance, economics, or related field.
    • May have post-graduate qualifications.
    • FINRA Series 7, 24 licenses an advantage.



    • In-depth understanding and knowledge of the market and products offered or to be offered by Investors
    • Understanding of regulatory requirements as they relate to Investors investment and governance processes


    • Sound understanding of US laws, regulations and governance requirements as they relate to Investors (i.e., SEC, FINRA).
    • Canadian and Cayman Islands regulatory compliance experience is a plus.
    • Experience in project management, monitoring, reporting and applying regulations to business practices.
    • High level of writing and communication skills.



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