Manager, Regulatory & Compliance

Job Description

Opportunity : Our Advisory Services team provides custom advisory services to clients including hedge funds, private equity, fund of funds, real estate, venture capital, family offices, wealth management firms, and broker / dealers. We utilize our deep expertise in finance, accounting, compliance, fund administration, operations, and due diligence to support various aspects of our client’s non-investment business function. Our team successfully ensures that projects are executed efficiently and in accordance with industry leading practices and regulatory requirements.

Within this role you will have the opportunity to participate in various projects including, but not limited to Operational Due Diligence Assessments, Loan Transaction Review, Due Diligence Questionnaire and Policy Creation Support Services, Project Management, Strategic Development, Launch and Winddown Advisory, and Corporate Secretarial Services. This breadth of work allows individuals on our team to find their niche and apply themselves in those areas.

A strong Operational Due Diligence background lends itself to several other projects for which our group is engaged.

Role-Specific Accountabilities :

• Comfortable working in a consultive and innovative environment
• Supporting the project management of each client engagement, including timelines and deliverables
• Complete fund related document reviews , Prospectus, Limited Partnership Agreement, Investment Management Agreement, etc.
• Participate in and accurately document assessment discussions with clients, including virtual meetings with fund manager personnel
• Draft comprehensive meeting reports (ranging from approximately 20-40 pages) and discuss findings with the team prior to finalization
• Work on projects to enhance the efficiency of and effectiveness of investment firms and assist in the documentation of various policies and procedures
• Support the team to identify, verify, analyze, and implement process improvement opportunities
• Contribute to strong working relationships within functional teams across the organization