Consultant - Compliance Manager

Summary: The Compliance Manager Consultant role at Arootah involves providing expert compliance advice to Hedge Funds and Family Offices. The consultant will leverage their extensive experience in compliance management to develop and implement effective compliance programs, ensuring alignment with regulatory requirements. This position offers flexibility in working arrangements and the opportunity to work with prestigious clients in the financial services industry.

Key Responsibilities:

• Provide advice and guidance to clients on their Compliance programs.
• Develop realistic and effective monthly action plans.
• Identify internal and contextual roadblocks.
• Break apart goals into actionable steps.
• Devise a plan of action for each goal.
• Provide resources associated with implementing action plans.
• Implement policies, procedures, and control measures.
• Evaluate client advancement toward goals through KPIs and scoring matrices.
• Maintain and share detailed records of consulting results.
• Ensure proper alignment with SEC expectations for risk management.
• Address regulatory requirements related to NFA/CFTC registered Commodity Pools.
• Utilize Broker/Dealer knowledge and experience with FINRA regulations.
• Draft and update Code of Ethics and Compliance Manuals.
• Develop the Group's Risk Compliance program and strategy.
• Assist staff with compliance on regulatory matters during business development.
• Create and maintain the firm’s Form ADV and regulatory filings.
• Manage internal controls related to trading activities.
• Conduct ongoing employee training and compliance support.
• Collaborate with management to remediate compliance findings.
• Facilitate annual regulatory risk assessments and provide recommendations.
• Create programs for electronic correspondence and business activities.
• Oversee annual compliance testing.
• Provide guidance on client fee billing and investment advisory agreements.
• Handle ad-hoc and special projects as requested by clients.

Key Skills:

• Bachelor’s Degree in Law, Finance, Business Administration, or related field.
• MBA, Juris Doctor, M.S. in Law, or Legal Studies preferred.
• Certifications: CCEP or Certified Internal Auditor preferred.
• 5+ years compliance experience, with 3+ years in a leadership role.
• Solid understanding of Federal securities laws and regulations.
• Experience managing relationships with regulators.
• Excellent written and verbal communication skills.
• Advanced skills in Microsoft Office Suite.
• Outstanding analytical skills, detail-oriented, proactive, and self-motivated.
• Collaborative and diplomatic with cross-functional partnership skills.
• Ability to work independently and prioritize tasks effectively.
• Strong rapport-building skills and teamwork capability.

Salary (Rate): undetermined

City: undetermined

Country: undetermined

Working Arrangements: remote

IR35 Status: outside IR35

Seniority Level: undetermined

Industry: Other