SEC Consultant (London-based)

03 Aug 2017
15 Aug 2017
Contract Type

Our clients range from start-ups to large firms with well-established track records and utilise a broad array of investment strategies and styles such as: long only, long/short equities, global macro, credit, distressed, bank debt, fixed income, private equity, venture capital, real estate-related and fund of fund strategies.

As part of our ongoing plans to strengthen our offering to UK clients, we are looking to hire a compliance professional who is able to demonstrate significant SEC experience.

This is a very varied role with outline responsibilities including (but not limited to):

  • Manage SEC and CFTC registration projects.
  • Carry out compliance monitoring and annual review work on SEC / CFTC requirements for UK clients.
  • Train or support the training of our UK staff and clients in compliance within the Financial Services sector.
  • Work closely with colleagues in Cordium US in relation to SEC compliance projects.
  • Examines client procedures to ensure financial products and processes meet regulatory standards.
  • Implement changes necessary to ensure compliance with the relevant regulatory body.
  • Advising on changes to the US Regulatory Environment
  • Carry out FCA work alongside core SEC / CFTC responsibilities as time allows.

It is likely that the successful candidate will be degree educated and be able to demonstrate a minimum of 4 - 6 years' relevant SEC / CFTC compliance experience (although we may consider candidates with more or less experience than this). Whilst not essential, hands on FCA experience would be highly beneficial. For those candidates without FCA experience, there will be opportunities to develop in this area.

Please forward your details and CV to by the closing date of 1st August 2017.

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