ConnectMe Capital, llc · 3 hours ago
Regulatory Compliance Manager
United States
Full-time
Remote
Mid, Senior Level
3+ years expConnectMe Capital, llc is a global regulatory and compliance consulting firm seeking a Regulatory Compliance Manager. The role involves overseeing a portfolio of clients, advising on regulatory registrations, managing filings, and conducting compliance training sessions.
Staffing & Recruiting
Hiring Manager
Bonni Pesner Pactor
Responsibilities
Advise clients on regulatory registrations (SEC, CFTC, NFA)
Manage annual and quarterly regulatory filings, including: Form 7-R, CPO-PQR, Form ADV, and Form PF
Draft and oversee compliance policies and procedures
Conduct mock regulatory exams and forensic testing of compliance programs
Prepare and lead compliance training sessions
Stay current on regulatory developments and guide clients accordingly
Qualification
Required
3 to 5 years of compliance experience with either: An SEC- or CFTC-registered investment advisor, A compliance consulting firm, or A regulatory body (SEC, FINRA, etc.) Regulatory Fund administration experience will be considered for a portion of the 3-5 years
Hands-on experience drafting compliance policies and procedures
Strong knowledge of SEC and CFTC registration requirements
Direct experience with Forms 7-R, CPO-PQR, ADV, and PF
Excellent written and verbal communication skills
Strong organizational skills and exceptional attention to detail
Bachelor's degree required
Preferred
Management or supervisory experience
Company
ConnectMe Capital, llc
ConnectMe Capital, LLC specializes in recruitment for the Financial Industry and Renewable Energy sectors across the US and Canada.
0-1 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase