Sr. Compliance Consultant
Our client is seeking a Senior Compliance Specialist to support and enhance the compliance program for a newly launched investment fund platform. This role will partner closely with Legal, Product, Operations, and external service providers to ensure compliance with SEC, FINRA, and investment management regulations.
Key Responsibilities
Support and maintain compliance policies, procedures, manuals, and supervisory controls. Monitor regulatory developments and implement necessary compliance updates. Conduct compliance testing, monitoring, and oversight of fund, adviser, and third-party service provider activities. Support regulatory examinations, audits, inquiries, and remediation efforts. Assist with regulatory filings, board reporting, fund governance, and disclosure reviews. Coordinate with internal teams and external vendors to ensure compliant fund operations. Deliver compliance training and promote a strong culture of compliance. Support compliance programs under the Investment Company Act of 1940 and Investment Advisers Act of 1940. 5-10 years of compliance experience within investment management, asset management, or financial services. Experience with registered funds, Rule 38a-1, and/or Rule 206(4)-7 compliance requirements. Knowledge of fund and adviser operations, regulatory filings, disclosure reviews, and service provider oversight. Experience interacting with the SEC and other regulatory agencies. Strong communication, collaboration, and project management skills. Hands-on, proactive approach with the ability to build and enhance compliance programs in a growing environment. Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles. Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app and get 1-tap apply, notifications of AI-matched jobs, and much more. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information. © 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use and Privacy Notice.