Compliance Consultant

STP Management Corporation•West Chester, PA

10h

About The Position

STP Investment Services is a premier, tech-enabled financial services provider, delivering a comprehensive line of investment middle-office operations outsourcing, integrated managed services, fund administration and compliance solutions to our global client franchise. With offices in the United States and India, STP provides a broad range of services to the asset management industry with capabilities to process all asset classes and meet ever-evolving business requirements. The Compliance Consultant will provide expert advice to the company’s clients regarding Advisers Act concepts and compliance with regulatory requirements applicable to private fund advisers, institutional advisers, and wealth managers. In this role you will execute on the compliance-related services offered to our clients. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Requirements

Commitment to high standards of customer service and support, focusing on providing value and satisfaction to clients.
Practice active listening to understand client perspective and concerns.
Provide sound, rational guidance, even in the face of client resistance.
Ability to convey complex ideas simply and effectively.
Strong interpersonal skills to build trust and rapport with client.
Minimum 8 years experience as a senior compliance officer or adviser for registered investment advisory firm(s), including at least 5 years of experience working with private fund advisers.
Strong knowledge of Investment Advisers Act of 1940 as well as other regulations relevant to registered investment advisers
Bachelor's degree from an accredited college/university.

Nice To Haves

Experience working in a compliance environment with various types of registered investment advisers, including wealth managers and institutional asset managers.

Responsibilities

Preparation, review and submission of regulatory filings, including Form ADV and Form PF.
Development and maintenance of client’s written compliance policies and procedures, Code of Ethics and other policies, in collaboration with client.
Deliver periodic compliance training to clients’ staff.
Perform annual compliance reviews in accordance with Rule 206(4)-7 of the Advisers Act.
Perform compliance reviews of client’s marketing materials.
Oversee reviews of our managed services, including electronic communication reviews and Code of Ethics reviews.
Provide general compliance consulting, support and guidance to clients undergoing a regulatory (SEC or state) examination
Conduct SEC mock examinations.
Provide general compliance consulting applicable to a client’s business, including consulting regarding policies ancillary to the Investment Advisers Act of 1940, such as Regulation S-P and Regulation S-ID.
Stay current on new and pending rulemaking applicable to registered investment advisers.