Temporary Compliance Consultant - New York


: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time


: Legal

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Job Summary

Beacon Hill Legal's client, a financial services firm located in Midtown Manhattan, has an exciting temporary opening for a compliance consultant to join the Legal and Compliance team. The consultant will support the new investor communications and marketing team, assisting with legal and compliance matters that arise in connection with investor suitability, domestic and global marketing restrictions, marketing material compliance review, and investor communications.

Responsibilities include:

  • Review marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials across various investment strategies from a legal, regulatory and compliance perspective

  • Provide support relating to materials responsive to existing investors' legal and compliance-related requests

  • Assist in maintaining internal policies and procedures and current regulatory guidance with respect to marketing

  • Develop educational materials and trainings for IRBD business professionals with respect to marketing and fundraising regulations and protocols

  • Assist in assessing current and prospective regulatory risk through industry interaction and research

  • Qualifications:

  • At least 2 years of prior experience at a law firm and/or investment management firm

  • Prior experience in a compliance role and/or J.D. required

  • Understanding of the Advisers Act and FINRA regulations required

  • Strong attention to detail and analytical skills

  • Strong drafting and organizational skills

  • Interested candidates can submit a Word version of their resume. All relevant experience should be listed on resume submissions

    Beacon Hill is an Equal Opportunity Employer that values the strength diversity brings to the workplace. Individuals with Disabilities and Protected Veterans are encouraged to apply.

    Associated topics: attorney, attorney corporate, business, compliance department, compliance office, corporate, counsel, legal, legal department, market * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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