Manager - Compliance (Alternative Assets)

Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives with little input from senior team members.Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.Assist and oversee junior team members in the performance of compliance functions, such as personal trading review, email review, the monitoring of firm trading activities and maintaining restricted lists.Perform reviews needed to complete an Annual Review of policies and procedures as required under the Advisers Act. Oversee reviews conducted by other team members.Lead client calls and ensure call agendas and work product are provided in a timely manner.Review drafts of required US regulatory filings.Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act.Review drafts of client policies and procedures.Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.Mentor new team members.Perform other compliance-related responsibilities and special projects as needed.