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Senior Manager - Regulatory Compliance (Asset Management)

Description

EisnerAmper is seeking a regulatory compliance professional to join the Financial Services practice. Our Financial Services practice works with more than 1,600 hedge funds, private equity funds, mutual funds, and ERISA fiduciaries. Our Global Compliance and Regulatory Solutions (“GCRS”) team leverages a collective knowledge of global regulations, asset management experience, and technology expertise to accurately identify and manage regulatory compliance risk. We are eager to meet with candidates who thrive in a fast-paced, entrepreneurial environment and enjoy providing clients with exceptional service.

What you’ll be doing: 

  • The Regulatory Compliance Services Manager is key member of the GCRS management team and responsible for:

  • Conducting Client Risk Assessments: Work with Hedge Fund and Private Equity clients to understand their business activities that are subject to the Investment Advisers Act of 1940 and define the regulatory compliance risks.

  • Drafting Policies and Document Controls: Review the client’s Code of Ethics, Compliance Manual and any other relevant documents (fund offering documents, marketing material etc.).  to align policies to the business activities and best practices.

  • Managing Multiple Client Engagements: Work with GCRS practice lead to simultaneously manage the delivery of multiple engagements.

  • Publishing Thought Leadership: Maintain working knowledge of proposed regulations and author and/or co-author ‘thought leadership’ to raise your profile as a professional services leader.

We’re looking for someone who has: 

  • Bachelor's Degree in Accounting, Finance, or other related field is required.

  • 7+ years of experience working as a compliance analyst, consultant or legal counsel for a hedge fund or private equity manager;

  • Strong knowledge of the Investment Advisers Act of 1940, the SEC and the U.S. regulatory environment;

  • Effective communication skills and the ability to work with executive management, product users and technology development teams in multiple locations;

  • Understanding of UK, EMEA, and APAC regulatory regimes

  • Consulting experience

  • JD is desired but not a requirement

  • Comfortable working in a fast passed technology environment; 

  • Strong analytical and problem solving skills

  • Proficient with Microsoft office tools: Outlook, Excel, Word, PowerPoint, SharePoint, etc.

About our Business Advisory Team 

The EisnerAmper Business Advisory Group offers a wide array of services to an even broader range of businesses. Whether it’s dealing with bankruptcy and transactional disputes or executive compensation structures and health care management, our team thrives by marrying deep-rooted industry expertise with a culture of always embracing new perspectives and ideas.  

Our “startup mentality,” backed by the institutional knowledge and established reputation of the firm, enables us to be flexible and always test what can take our team and clients to the next level. Whether it’s a new internal process, digital platform, or service offering, we believe that innovative ideas come from all levels and every employee should have the opportunity to make an impact on the business, our clients, and their careers.  

To us, every sub-sector in our group functions as its own business—so we need to think like entrepreneurs ourselves, often putting on the shoes of our clients. It’s this mindset that allows us to grow as professionals and provide innovative solutions tailored to our clients’ unique needs.  

About EisnerAmper: 

EisnerAmper is one of the largest accounting, tax and business advisory firms in the U.S., with more than 2,500 employees and over 200 partners across the country. We combine responsiveness with a long-range perspective; to help clients meet the pressing issues they face today, and position them for success tomorrow.  

Our clients are enterprises as diverse as sophisticated financial institutions and start-ups, global public firms and middle-market companies, as well as high net worth individuals, family offices, not-for-profit organizations, and entrepreneurial ventures across a variety of industries. We are also engaged by the attorneys, financial professionals, bankers and investors who serve these clients.  

Our reach extends globally, with offices in the United Kingdom, Israel, India, the Cayman Islands, Singapore, and Ireland. 

EisnerAmper is an equal opportunity employer. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or protected veteran status. 

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For NYC, the expected salary range for this position is between $128,980.00 and $201,531.00. The range for the position in other geographies may vary based on market differences. The actual compensation will be determined based on experience and other factors permitted by law.

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