Regulatory Affairs Manager

il y a 3 semaines

RoumazièresLoubert, Nouvelle-Aquitaine, France Principal Financial Group Temps plein

Job Title: Regulatory Affairs Manager

Job Summary:

We are seeking a highly skilled Regulatory Affairs Manager to support our Private Funds compliance program. This role will involve providing compliance support for product development and distribution efforts in the global wealth channel, including real estate investment trusts and private funds.

Key Responsibilities:

  • Provide compliance support for product development and distribution efforts in the global wealth channel.
  • Review and analyze selling agreements, fund offering materials, investor qualifications, subscription agreements, and advertising materials to ensure compliance with regulatory requirements.
  • Draft and maintain due diligence reports on products, assist with regulatory filings for private funds, and develop compliance policies and procedures to mitigate risks.
  • Assist with compliance testing, AML, and other duties as assigned to ensure the highest level of compliance and risk management.

Requirements:

  • Bachelor's degree or equivalent experience required.
  • 10+ years related work experience required, including some combination of experience with private placements, various US and offshore fund structures, real estate (debt and equity), high yield debt, and/or alternative lending.
  • FINRA licensing is required, including the SIE or equivalent, series 7 and series 24.
  • Excellent written and verbal communication skills, consulting skills, and the ability to build strong relationships.
  • Self-motivated with strong organizational, problem-solving, and analytical skills with high attention to detail.
  • Comfortable providing consultation and direction to individuals at varying levels within the organization.
  • Experience with SharePoint Online, Microsoft Teams, and Red Oak is a plus.

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