RemoteLeads Logo
Sign Up Sign In

Fractional Compliance Manager (Advisor Network)

6 hours, 26 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

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, 3 hours ago
Binance

Binance Accelerator Program - Sanction Operations

Binance 5001+ Capital Markets

Join Binance’s Accelerator Program as an early-career Sanctions team member, supporting global risk and financial-crime operations through communications, documentation, research, and data analysis.

United Arab Emirates Singapore Taiwan Australia New Zealand Hong Kong Contract Entry Level Compliance Manager
Blockchain
1 day, 3 hours ago
Binance

Enterprise Wide Risk Assessment (EWRA) Analyst (1 year contractor)

Binance 5001+ Capital Markets

Binance is hiring a Compliance Risk professional to strengthen its global compliance risk management framework across financial crime, products, controls, and regulatory change.

United Kingdom United Arab Emirates Contract Senior Compliance Manager
Generative AI Python SQL
1 day, 3 hours ago
Swapcard

Freelance Corporate Lawyer – Part-time (approx. 2.5 days/week)

Swapcard 201-500 Professional Services

Swapcard, a Paris-headquartered B2B event-tech SaaS company, seeks a freelance lawyer to support its in-house legal team on corporate, employment, and business law matters in a remote international environment.

France Freelance Senior Legal Counsel
6 hours, 41 minutes 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