About the job
We are seeking an accomplished Manager of Regulatory Compliance with a keen eye for detail and a strong analytical mindset to join our dynamic team in New York. In this pivotal role, you will tackle intricate compliance challenges and craft, execute, and validate compliance strategies for clients across both alternative and traditional investment landscapes. Your professionalism, sound judgment, and adaptability to client schedules will be crucial as you support regulatory examinations and the functions of outsourced Chief Compliance Officers.
Key Responsibilities
- Oversee client engagements by providing expert compliance guidance with minimal supervision from senior leadership.
- Ensure the timely and precise completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures.
- Facilitate client training sessions, conduct mock regulatory exams, and provide direct assistance during SEC and FINRA examinations.
- Remain informed on regulatory changes, assist clients in establishing internal controls, and deliver practical resolutions to complex compliance issues.
- Contribute to a collaborative team environment, mentor junior staff, and participate in firm-wide initiatives such as business development and operational excellence beyond client engagements.

