Senior Consultant / Associate Director

Our client is a growing and dynamic regulatory compliance consulting firm with offices in New York and London. They provide high-touch, high-value advisory services to investment managers and foster a collaborative and progressive environment where experienced professionals can lead meaningful client work and contribute to firm growth.

Our client is seeking a senior-level compliance professional to join their New York Regulatory Consulting team. This role focuses on SEC regulatory requirements for investment advisers to private funds and separately managed account clients, with opportunities to work on multi-jurisdictional matters in partnership with their London-based colleagues.

Key Responsibilities

· Serve as the lead compliance consultant and day-to-day contact for retained clients.

· Provide practical, risk-based regulatory guidance on complex SEC and CFTC/NFA matters.

· Manage client engagements, including scope, deliverables, timelines, and budgets.

· Develop and implement compliance programs for SEC-registered investment advisers, exempt reporting advisers, and CPO/CTA clients.

· Lead SEC and CFTC/NFA registration projects and oversee required filings.

· Prepare and file key regulatory filings, including Form ADV, Form PF, CPO-PQR, CTA-PR, and Form 13H.

· Lead annual compliance reviews under Advisers Act Rule 206(4)-7, including risk assessments, testing, documentation review, and report drafting.

· Support clients with quarterly testing, e.g., e-comms

· Assist clients with marketing reviews

· Support SEC mock examinations, issue remediation, and regulatory readiness.

· Attend industry events and contribute to other business development initiatives.

Experience & Qualifications

· 7+ years of compliance experience in a consultancy, asset/private fund manager, regulator, or a combination thereof, with a strong focus on private funds (hedge funds, private equity, private credit, real estate, etc.).

· Strong working knowledge of the Investment Advisers Act of 1940 and related SEC regulations.

· Hands-on experience with Form ADV, Form PF, annual compliance reviews, and SEC examination support.

· Interest in cross-border regulatory matters and collaboration with UK-based colleagues.

· Proven ability to independently lead client engagements, manage competing priorities, budgets, and deliver high-quality work.

· Excellent communication and project management skills.

· Highly organized, detail-oriented, and capable of managing multiple engagements simultaneously.