🛠 Tech Stack

💼 About This Role

You'll handle US and global regulatory examinations and inquiries for a leading investment firm. You'll collaborate with external counsel and senior management to ensure timely and consistent responses. This role supports both asset management and insurance sectors within the Compliance Team.

🎯 What You'll Do

• Oversee regulatory exam preparation and responses.
• Monitor and analyze new rules and regulations.
• Draft and revise policies and procedures.
• Conduct compliance training for business teams.

📋 Requirements

• 2-5 years in investment management or insurance compliance
• Knowledge of regulatory affairs and exam management
• Strong communication and organizational skills
• Proficiency with PowerPoint, Word, Excel, and data analytics

✨ Nice to Have

• Experience with SEC or state insurance regulations
• Familiarity with Rule 206(4)-7 testing
• Ability to manage multiple projects in a dynamic environment

🎁 Benefits & Perks

• 💰 Discretionary bonus based on performance
• 🏥 Comprehensive health benefits
• 🏖️ Paid time off
• 📈 401(k) plan

📨 Hiring Process

Estimated timeline: 2-4 weeks

1. 1Recruiter Screen· 30 min
2. 2Hiring Manager Interview· 45 min
3. 3Panel Interview· 60 min
4. 4Offer· N/A

[email protected]