Cloudbreak Compliance Group is a leading compliance consulting firm that works primarily with private funds managers. Cloudbreak seeks to provide clients with highly-tailored and business friendly solutions in today's constantly-evolving, complex regulatory landscape.
Role and Responsibilities
Cloudbreak is seeking to add a full-time Consultant to its team. The person will be expected to work from Cloudbreak's office in White Plains, New York at least three days per week.
Responsibilities will include:
Assisting in registering clients as investment advisers with the SEC
Preparing policies and procedures, reports, memoranda and other client deliverables
Supporting senior consultants with client engagements, including tracking and monitoring, ongoing obligations and preparing for meetings and reviews
Assisting with annual compliance reviews, mock audits and SEC examinations
Conducting compliance testing, including electronic communications reviews
Assisting in the preparation of regulatory filings, including Form ADV, Form PF, Form 13H and Form 13F
Reviewing marketing materials
Assisting with the onboarding and monitoring of compliance software platforms for clients
Chaperoning expert network calls
Participating in client meetings and reviews
Assisting in conducting compliance training sessions for clients' employees
Researching compliance issues
Skills & Experience
3-5 years of regulatory and compliance experience relating to hedge funds or private equity funds at a private fund manager, law firm, consulting firm or at the SEC
Understanding of the Investment Advisers Act
Experience assisting with the development or monitoring of compliance programs
Experience preparing regulatory filings or reviewing marketing materials is a plus
Must have strong time management skills
Strong analytical skills, independence and ability to come up with practical solutions
Cloudbreak is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age or disability.