Cannabis Investment Adviser Compliance Consultant Jobs

About Aspect Advisors

Aspect Advisors is a regulatory compliance consulting firm with a modern twist. Our clients are primarily investment advisers (including internet-only advisers), fund managers (Crypto, PE, VC, Hedge), broker-dealers, Fintech companies, and other unregistered finance-related firms.

Our fully customized and high-touch consulting services include regulator and state registrations and filings, IA compliance policies and procedures, ongoing strategic advice, and outsourced compliance and financial principal support. Aspect was founded in January 2019 and is headquartered in San Francisco with additional team members based in New York.

Opportunity:

Aspect is currently seeking an experiencedInvestment Adviser compliance professional. This is a unique opportunity to join a rapidly-growing company and work on cutting-edge projects.

Candidates must have a solid foundation in providing compliance support to investment advisors that manage both separately managed accounts and/or private investment vehicles. The ideal candidate is not only well-versed in traditional forms of investment such as public/private equity, debt, and real estate, but is also comfortable with contemporary forms of alternative investments such as crypto/blockchain, cannabis, and internet-based investing.

Responsibilities:

• Participate in new client onboarding: interview key personnel, review existing compliance program materials, perform gap analysis
• Draft and submit applications for Registration with individual states or the SEC (Form ADV)
• Guide clients through every step of SEC and State exams and communicate with Regulators as necessary
• Customize clients’ policies and procedures manuals to company-specific operational requirements for compliance with SEC and state regulations, as well as best practices
• Analyze, prepare, and submit other regulatory filings such as Form D and Blue Sky filings, 13D/G, 13F, 13H, and Form PF
• Manage compliance calendar and deadlines for assigned Clients
• Review client marketing materials and communications (written and digital)
• Help clients meet their goals by providing strategic consulting services and helping them manage complexities of their specific financial regulatory regime
• Conduct research on SEC and State regulations in response to clients’ inquiries, and advise clients on their business model while applying the principles behind the Securities Act, Securities Exchange Act, Advisers Act, Investment Company Act, and other applicable regulations
• Assist clients in the performance of compliance functions such as overseeing trade matters (i.e. client suitability/KYC, due diligence, insider trading), providing ethics training to investment adviser representatives, email review, etc.

Qualifications:

• 4 years minimum of relevant compliance experience at a registered investment adviser, exempt reporting adviser, private fund manager, dual-registered broker dealer, securities law firm, or compliance consulting firm
• Bachelor’s Degree (business, finance, or related field preferred, but not required)
• Strong working knowledge of the IA Act ’40, IC ACT of ‘40, Securities Act ’33, Securities Act ’34, AML and Privacy rules
• Experience with registered investment adviser (including private fund) procedures and associated filings
• Competent with modern software: CRM; project management (tracking client work and deliverables), Microsoft 365 products (Outlook, Word, Excel); file-sharing systems (Box)

• Commitment to customer service: focus on delivering quality work product in a timely manner, maintain an “open door” for clients to reach you for guidance.
• Proactive critical thinker: able to foresee potential risks ahead of making decisions, able to balance business concerns and regulatory requirements.
• Effective communicator: able to confront conflict and difficult issues in a professional and proactive manner.
• Organized and process oriented: ability to multi-task, work under pressure, maintain detailed records, prioritize work, and meet deadlines.
• Self-directed high achiever: strong sense of personal accountability, initiative and enthusiasm, and a positive attitude.
• Outstanding interpersonal and communication skills (both written and verbal)
• Able to work independently and/or remotely with limited direct supervision in an effective and efficient manner, but also comfortable collaborating frequently (via team calls, Zoom, IM) with other team members.

• Willingness to schedule phone calls and meetings at times convenient for clients and customers around the world.

Other Desired Qualifications/Experience:

• Knowledge of crypto and digital asset compliance
• Knowledge of rules and regulations for broker dealers, filings (NMA/CMA, Forms U-4, U-5, BR, BD) and procedures
• Knowledge of CFTC / NFA rules

• Ability to function as an outsourced Chief Compliance Officer (CCO)

Logistics:

• This is a full-time salaried position with benefits.
• Monday – Friday business hours.
• The firm is based in San Francisco and has team members located in New York.
• All team members are working remotely from home offices during COVID-19 restrictions. We are open to discussing permanent remote work.
• This position reports directly to the leader of the Investment Adviser department

• Occasional travel may be requested for client meetings, audits, events, and conferences.
• Must be eligible to work in the U.S.

• A background check will be required (which may include fingerprinting).
• Compensation is competitive and commensurate with experience; medical, dental and vision insurance, and PTO benefits.

To apply, please provide a copy of your resume and a cover letter describing why you are interested in this position.

Job Type: Full-time

Pay: $85,000.00 - $110,000.00 per year

Benefits:

• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday

COVID-19 considerations:Our team is working remotely from home during the pandemic.

Education:

• Bachelor's (Preferred)

Experience:

• Form ADV: 2 years (Preferred)

Work Location:

• Fully Remote

Paid Training:

• Yes

Management:

• Team Lead

Company's website:

• www.aspectadv.com

Work Remotely:

• Yes

COVID-19 Precaution(s):

• Remote interview process

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