Job Description Associate Director – Compliance Consulting Location: San Francisco Firm Overview A prominent compliance consulting firm. The firm serves clients, including hedge funds, private equity, real estate managers, banks, and broker-dealers. Role Overview This hire will provide senior oversight of regulatory compliance matters for a diverse portfolio of clients, ensuring they meet SEC, CFTC/NFA, FINRA, and other regulatory requirements. This is a full-time, client-facing role with significant growth and revenue-sharing opportunities. Key Responsibilities Client Management: Act as the primary day-to-day compliance oversight resource for a portfolio of clients. Regulatory Expertise: Develop and implement policies and procedures, including compliance manuals, codes of ethics, and MNPI protocols. Mock Audits: Conduct regulatory mock examinations, including document reviews, onsite interviews, and report drafting. Training: Provide compliance training on marketing, personal trading, electronic communications surveillance, and best execution. Risk Management: Anticipate and address client regulatory risks, focusing on key priorities without compromising quality. Business Development: Support or lead sales cycles, including pitches, proposals, and follow-ons. Qualifications: 5+ years in compliance within hedge funds, private equity, consulting firms, or asset managers. Strong knowledge of SEC, CFTC/NFA, and FINRA regulations. Experience with FCA or other global regulators is a plus. Education: Undergraduate degree required; J.D. or advanced degree .
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