Robert Half Alternative Investment Fund Specialist in CHICAGO, Illinois
To apply for this Alternative Investment Funds Specialist role, email your resume to John Sadofsky (email@example.com). In the subject line, type "Alternative Investment Funds Specialist role"
Accountabilities and responsibilities
•Providing regulatory expertise and guidance to clients on the requirements of the SEC rules and regulations;
•Managing clients’ registrations with applicable regulators and membership organizations, specifically the SEC (also may include CFTC, NFA and FINRA in due course);
•Assisting clients in establishing and implementing and maintaining written policies and procedures under Rule 206(4)-7;
•Monitoring and maintaining compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940;
•Developing and undertaking forensic testing and verification of internal controls for clients;
•Drafting policies and procedures and helping to establish internal controls;
•Analyzing the regulatory environment for updates applicable to clients;
•Assisting and completing regulatory reporting for clients;
•Assisting with regulatory examinations of clients’ compliance programs conducted by the SEC.
•Contribute to the development and implementation of the overall compliance strategy for SEC registered alternative investment fund managers.
Qualifications and experience:
•Ability to anticipate, monitor and manage compliance risks resulting from various investments and business activities;
•Ability to analyze industry regulations; adapt and develop policies and procedures to meet compliance requirements;
•Dedicated to upholding first-class standards and exceptional customer service focus;
•Analytical, technical, and technology skills with proficiency in basic office software, including Excel and Word;
•Strong analytical skills with the ability to exercise discretion and make independent judgments on all matters for clients;
•Proven ability to be proactive when dealing with clients giving full consideration to their requirements;
•Excellent communication skills with the proven ability and drive to build, manage and maintain client relationships;
•Must be able to demonstrate strong organizational and problem-solving skills with attention to detail;
•Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients
•Experience managing client relationships;
•Excellent Microsoft Office skills and experience using a CRM system would be an advantage.
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Questions? Call your local office at 1.888.490.5461. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals. Visit https://roberthalf.gobenefits.net/ for more information.