Associate Director Senior Compliance Consultant - Regulatory Compliance Consulting · Private Funds

Role purpose: The Senior Compliance Consultant independently delivers defined client engagements and workstreams for investment advisers to private funds and separately managed accounts. The role acts as a day-to-day client contact, produces high-quality technical work and manages delivery within an agreed scope, with Director oversight for material technical, regulatory, commercial and relationship matters.

Key responsibilities: CLIENT DELIVERY AND ENGAGEMENT MANAGEMENTLead defined client engagements or workstreams and serve as a day-to-day contact for assigned client stakeholders. Act as an Outsourced Chief Compliance Officer for small investment managers. Manage agreed deliverables, timelines and budgets within the approved scope, promptly escalating material variances or risks. Provide practical, risk-based guidance on routine and moderately complex SEC and CFTC/NFA compliance matters, seeking senior input as necessary. Maintain clear documentation and client communications across multiple assignments. REGULATORY PROGRAMS AND DELIVERABLESDraft and tailor compliance policies, procedures, risk assessments, testing plans and client communications for review where required. Prepare SEC and CFTC/NFA registrations and regulatory filings, including Form ADV, Form PF, CPO-PQR, CTA-PR and Form 13H, as applicable. Execute annual compliance reviews under Advisers Act Rule 206(4)-7, including testing, documentation review, issue identification and report drafting. Perform periodic compliance testing, including electronic communications testing, and support marketing reviews. Support SEC mock examinations, document requests, issue remediation and regulatory readiness exercises. TEAM AND FIRM CONTRIBUTIONCoordinate with colleagues in New York and London on multi-jurisdictional matters and shared client delivery. Share technical knowledge, contribute to templates and internal resources, and provide informal guidance to less experienced colleagues. Participate in client training, industry events, proposals and other business development initiatives as requested.