We are seeking PART TIME Senior Compliance and Legal Professionals

We need Advisers Act of 1940 compliance professionals only!

Who is NOT a fit? Please do NOT apply if you are in the banking or broker-dealer industries; non-Investment Advisers Act of 1940 attorney or paralegal; or, not in the investment management industry.

Omega Global Partners is seeking senior compliance professionals with a strong regulatory background in the Investment Advisers Act of 1940 to join our investment management practice. You will work with a wide range of investment management firms to provide expert regulatory advice and ongoing compliance support in regards to the technical requirements of the Investment Advisers Act of 1940.

Company Overview:

We are a leader in compliance consulting, delivering highly specialized regulatory advisory services that help investment advisers protect their enterprise and improve their compliance programs. Our compliance team is organized in several specialty practice areas and our highly credentialed experts and professional staff specialize in providing expert regulatory guidance to investment management firms.

This position affords the successful compliance candidate an exciting opportunity to learn about investment advisers as well as an exciting opportunity to work closely with some of the brightest minds on Wall Street in an informal work environment where collegiality and intellectual rigor are highly valued. A successful candidate is not only a self-starter, but a business leader that can handle any situation.


· Design and implement customized compliance programs and assist clients with complying with the Investment Advisers Act of 1940.

· Consult, prepare and file investment adviser filings with the Securities and Exchange Commission (SEC) and states, including SEC Form ADV; Forms PF, 13F and 13H; Schedules 13G and 13D, among other regulatory filings.

· Conduct mock SEC regulatory examinations and compliance testing using state of the art forensic and transactional testing techniques.

· Research technical requirements of Investment Advisers Act of 1940.

· Develop and evaluate compliance manuals, Code of Ethics policy, cybersecurity policies, and other compliance policies and procedures.

· Update and maintain proprietary database of client and regulatory information.

· Provide assistance to executive management.

· Assist clients in responding to regulatory examinations and enforcement inquiries.

· Conduct compliance calls with clients to deliver guidance and advice with respect to the requirements of the Investment Advisers Act of 1940.

· Respond to inbound client emails including, but not limited to advertising reviews, updates to regulatory filings, and researching the Investment Advisers Act of 1940.

· Remain on top of changes to the regulatory landscape and the resulting impact to clients.

Work Experience & Requirements:

At least 5 years investment adviser compliance experience with the Investment Advisors Act of 1940. Candidates for this position must possess excellent written and communication skills. Creative, analytical thinking and attention to detail would allow an individual to excel in this position. Our office environment is fast-paced and demands teamwork. Organizational and scheduling/time management skills are critical for these positions. Travel is not required.

Who is NOT a fit? Please do NOT apply if you are in the banking or broker-dealer industries; non-Investment Advisers Act of 1940 attorney or paralegal; or, not in the investment management industry.

Compensation: Our client is offering a competitive salary and benefits package.

Locations: Major metropolitan cities.

Required language: English

Required license or certification: Bachelor’s degree in economics, finance or a related field with academic success.

Job Type: Part-time and full-time positions. Remote.

Job Type: Part-time

Principals only. Recruiters, please don't contact this job poster.

do NOT contact us with unsolicited services or offers

Kemahiran: Pematuhan, Financial Services Tax, Kewangan, Penulisan Undang-Undang, Legal Consultation

Tentang Klien:
( 0 ulasan ) New York, United States

ID Projek: #34192294

4 pekerja bebas membida secara purata $79/jam untuk pekerjaan ini

(101 Ulasan)

Hello I will provide you quality legal research and legal writing. I am a PhD writer with 10 years of experience. I have worked on several similar projects of legal research and legal writing, and can deliver professi Lagi

$75 USD / jam
(49 Ulasan)
(25 Ulasan)

Hi Omega Global Partners, I would be a great fit for this project. I majored in finance and have a law degree. My first job out of law school was at KPMG in Manhattan, where I worked in the financial services departme Lagi

$85 USD / jam
(0 Ulasan)