Compliance Consultant presso STP Investment Services

Description

Company Overview: 

STP Investment Services is a collaborative partner providing scalable and transparent front, middle, and back office solutions to investment managers, funds, and plan sponsors giving them the technology, expertise and confidence needed to focus on core business objectives. STP Investment Services, an international company with fully owned offices in the United States and India, provides a broad range of services for the asset management industry with capabilities to process all asset classes and meet ever-evolving business requirements. 

STP employees enjoy the following benefits:

• Competitive compensation and commission program
• Unlimited PTO policy in addition to your birthday as a free day off!
• 401k Matching program
• Competitive health benefits (Medical, Vision, Dental, Life, and Disability Insurance)
• Volunteer Time Off (VTO). We pay you to do good in your community!
• Strong growth and advancement opportunities

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.   

Essential Functions 

In this role you will execute on the compliance-related services offered to our clients.  This may include any combination of the following services: 

• 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 (e.g. AML for RIAs, Private Fund Advisers Rule)  

Requirements

• 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  

Preferred Education and Experience 

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

Competencies 

• 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 clients.