RemoteLeaf Logo
Log in Sign up

Fractional Compliance Manager (Advisor Network)

8 hours, 33 minutes ago
Anywhere
Contract
Senior
Compliance Manager
Finance and Accounting
Apply Now
Arootah

Arootah

Arootah is a premier advisory and coaching firm empowering finance executives to unlock peak performance and offering elite services for alternative investment funds, business development, and wellness modalities in NYC.

Professional Services
11-50
View All Jobs 24

Description

  • Advise alternative asset firms and family offices on compliance-program strategy, roadmaps, and implementation.
  • Develop monthly action plans, identify roadblocks, and translate client goals into actionable steps.
  • Implement compliance policies, procedures, controls, and best-practice programs.
  • Conduct risk-management routines and prepare clients for SEC examinations and audits.
  • Maintain Form ADV Parts 1 and 2 and support recurring regulatory filings.
  • Draft and update compliance manuals, Codes of Ethics, and policies covering electronic communications, record retention, and outside business activities.
  • Develop and oversee annual compliance testing and regulatory risk assessments, providing recommendations to senior management.
  • Deliver ongoing and new-hire compliance training and proactive regulatory guidance.
  • Partner with firm management and external providers to remediate findings from internal and external examinations and audits.
  • Maintain accurate consulting records and track client progress using KPIs and scoring matrices.

Requirements

  • Bachelor’s degree in Law, Finance, Business Administration, or a related field.
  • 5+ years of compliance experience, including 3+ years as a Compliance Manager, Director of Compliance, or similar role at a hedge fund or family office.
  • Hands-on experience supporting Chief Compliance Officers in building and managing full compliance programs.
  • Knowledge of federal securities laws and regulations, including the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Exchange Act of 1933, and Regulation CF.
  • Experience with SEC expectations, NFA/CFTC commodity-pool requirements, and FINRA broker-dealer rules and regulations.
  • Experience managing relationships with regulators and remediating audit or examination findings.
  • Knowledge of controls related to insider trading, material nonpublic information, front-running, and other trading activity.
  • Strong written, verbal, analytical, and Microsoft Office skills.
  • Ability to work independently, manage ambiguity, prioritize work, and collaborate across stakeholders.
  • MBA, Juris Doctor, M.S. in Law/Legal Studies, CCEP, or Certified Internal Auditor certification is preferred.

Benefits

  • Project-based engagements that can fit around existing commitments.
  • Access to compliance consulting opportunities with hedge funds, private equity firms, and family offices.
  • Arootah manages client origination and engagement administration, allowing advisors to focus on delivery.
  • Opportunity to join a vetted network of alternatives-industry operators and advisors.

Interested in this position?

Apply directly on the company website

Apply Now

Similar Roles

Herself Health

Compliance Manager

Herself Health 11-50 Health Care Providers & Services

Herself Health is seeking a full-time Compliance Manager to operate and strengthen its healthcare compliance program for a value-based primary care model serving women age 65 and older.

United States Full-time Senior Compliance Manager
$90k-$105k
HIPAA
9 hours, 3 minutes ago
Ro

Director, Advertising and Promotion Compliance

Ro 501-1000 Health Care Providers & Services

Ro is seeking a Director, Advertising and Promotion Compliance to scale compliant healthcare advertising review operations and enable timely, high-volume campaigns across its direct-to-patient telehealth platform.

United States Full-time Executive Compliance Manager
$200k-$263k
1 day, 5 hours ago
Jobandtalent

CO - Remote Legalization Coordinator

Jobandtalent 1001-5000 Professional Services

Join the hiring compliance team to verify worker eligibility, legal documentation, and payroll data before employees are cleared to begin work.

Colombia Contract Mid Level Compliance Manager
1 day, 5 hours ago
Binance

KYC & KYB Manager

Binance 5001+ Capital Markets

Binance is seeking a CDD Governance professional to strengthen global AML customer due diligence standards, oversee cross-jurisdictional initiatives, and coordinate with internal teams, auditors, and banking partners.

United Kingdom United Arab Emirates Singapore Full-time Senior Compliance Manager
1 day, 6 hours ago

You're on a roll! Sign up now to keep applying.

Sign Up

Already have an account? Log in

Used by 14,729+ remote workers