Job Description Associate Director – Compliance Consulting Location: San Francisco Firm Overview A prominent compliance consulting firm. The firm serves clients, including hedge funds, private equity, real estate managers, banks, and broker-dealers. Role Overview This hire will provide senior oversight of regulatory compliance matters for a diverse portfolio of clients, ensuring they meet SEC, CFTC/NFA, FINRA, and other regulatory requirements. This is a full-time, client-facing role with significant growth and revenue-sharing opportunities. Key Responsibilities Client Management: Act as the primary day-to-day compliance oversight resource for a portfolio of clients. Regulatory Expertise: Develop and implement policies and procedures, including compliance manuals, codes of ethics, and MNPI protocols. Mock Audits: Conduct regulatory mock examinations, including document reviews, onsite interviews, and report drafting. Training: Provide compliance training on marketing, personal trading, electronic communications surveillance, and best execution. Risk Management: Anticipate and address client regulatory risks, focusing on key priorities without compromising quality. Business Development: Support or lead sales cycles, including pitches, proposals, and follow-ons. Qualifications: 5+ years in compliance within hedge funds, private equity, consulting firms, or asset managers. Strong knowledge of SEC, CFTC/NFA, and FINRA regulations. Experience with FCA or other global regulators is a plus. Education: Undergraduate degree required; J.D. or advanced degree .
...Opportunities for professional development and training. Friendly and collaborative work environment. About the Role As a Construction Superintendent, you will oversee all phases of construction projects, from planning to completion. Youll be responsible for delivering...
...Job Description Job Description We have immediate openings for Order picker/packer and Janitorial for Manufacturing Warehouse. Job Description of Order Warehouse Worker: Must be able to stand for lengths of time Must be comfortable working in a warehouse...
...Position Summary : Six Flags Over Texas is seeking highly skilled and detail-oriented Makeup Artists to join our Entertainment Team! These positions are vetted and instructed by our Creative Team and report directly to our Costuming Supervisors during the season....
...distraction-free workspace. - Self-motivation to work independently and efficiently. - Willingness to learn and develop skills for remote work success. What You'll Enjoy: - Participate in online and in-person discussions without any commute if working remotely....
Established California law firm looking for strong civil litigation defense attorneys. If you're looking for a firm to grow with, reach out to learn more! Desired Background:* 2+ years of experience; casualty defense work, personal injury, product liability, construction...