Manager - Compliance (Alternative Assets)

Manager - Compliance (Alternative Assets)

11 Dec 2025
New York, New york city 00000 New york city USA

Manager - Compliance (Alternative Assets)

Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives with little input from senior team members.Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.Assist and oversee junior team members in the performance of compliance functions, such as personal trading review, email review, the monitoring of firm trading activities and maintaining restricted lists.Perform reviews needed to complete an Annual Review of policies and procedures as required under the Advisers Act. Oversee reviews conducted by other team members.Lead client calls and ensure call agendas and work product are provided in a timely manner.Review drafts of required US regulatory filings.Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act.Review drafts of client policies and procedures.Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.Mentor new team members.Perform other compliance-related responsibilities and special projects as needed.

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  • Description

  • OverviewBaker Tilly is a leading advisory, tax and assurance firm, providing clients with a genuine coast-to-coast and global advantage in major regions of the U.S. and in many of the world\'s leading financial centers - New York, London, San Francisco, Los Angeles, Chicago and Boston. Baker Tilly Advisory Group, LP and Baker Tilly US, LLP (Baker Tilly) provide professional services through an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable laws, regulations and professional standards. Baker Tilly US, LLP is a licensed independent CPA firm that provides attest services to its clients. Baker Tilly Advisory Group, LP and its subsidiary entities provide tax and business advisory services to their clients. Baker Tilly Advisory Group, LP and its subsidiary entities are not licensed CPA firms.Baker Tilly Advisory Group, LP and Baker Tilly US, LLP, trading as Baker Tilly, are independent members of Baker Tilly International, a worldwide network of independent accounting and business advisory firms in 141 territories, with 43,000 professionals and a combined worldwide revenue of $5.2 billion. Visit bakertilly.com or join the conversation on LinkedIn, Facebook and Instagram. Please discuss the work location status with your Baker Tilly talent acquisition professional to understand the requirements for an opportunity you are exploring.Baker Tilly is an equal opportunity/affirmative action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability or protected veteran status, gender identity, sexual orientation, or any other legally protected basis, in accordance with applicable federal, state or local law.Any unsolicited resumes submitted through our website or to Baker Tilly Advisory Group, LP, employee e-mail accounts are considered property of Baker Tilly Advisory Group, LP, and are not subject to payment of agency fees. In order to be an authorized recruitment agency (\"search firm\") for Baker Tilly Advisory Group, LP, there must be a formal written agreement in place and the agency must be invited, by Baker Tilly\'s Talent Attraction team, to submit candidates for review via our applicant tracking system.Job Description: ResponsibilitiesAre you interested in joining one of the fastest growing consulting and accounting firms in the country?Would you like the ability to join a highly dynamic team focused on providing exceptional client service in the areas of financial institution risk and regulatory compliance?If yes, consider joining Baker Tilly (BT) as a Regulatory Compliance Manager! Our Risk Advisory practice provides a full spectrum of services to help our clients assess their risks, develop strategies to compete in an ever-changing business environment, and achieve their goals and objectives. All of this is accomplished through deep industry knowledge of risk, governance and regulatory compliance best practices.As one of the fastest growing firms in the nation, BT has the ability to offer you upward career trajectory, flexibility in how and where you get your work done and meaningful relationships with clients, teammates and leadership who truly care about you and your development.Does this describe you?

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  • NYC 299 Park Avenue (22957), United States of America, New York, New York

  • NYC 299 Park Avenue (22957), United States of America, New York, New York

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