Atlas Search

Assist clients with SEC and state regulatory filings, compliance programs, and regulatory examinations. | Requires 4+ years of compliance experience in investment advisory or securities law, with knowledge of relevant laws and filings. | 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. Company Requirements: 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 and FINRA rules • Ability to function as an outsourced Chief Compliance Officer (CCO)

Manage clinical sites through all phases of clinical trials including start-up, monitoring, patient recruitment, and close-out while ensuring compliance with regulatory guidelines. | Bachelor’s degree in Life Science required, 3+ years direct site monitoring experience, willingness to travel 50-65%, knowledge of ICH-GCP and regulatory compliance. | We are partnered with a biotechnology company seeking a Clinical Research Associate (Senior/Principal). The CRA will be responsible for overall clinical site management, including site identification, feasibility, pre-study site evaluation, study start-up, site initiation, patient recruitment, monitoring, site close-out activities, inspection readiness and local regulatory and IRB/EC submissions of clinical studies at designated sites in accordance with study protocol(s), Standard Operating Procedures (SOPs), ICH-GCP guidelines and all applicable regulatory requirements. Responsibilities: • Responsible for the successful start-up, monitoring and execution of Phase I-IV studies at assigned clinical sites. • Perform clinical site management and monitoring activities in compliance with principles of ICH-GCP guidelines, SOPs, local laws and regulations, study protocol(s), applicable study plans and working guidelines. • Serve as primary point of contact for clinical sites through all phases from start-up to close-out of clinical studies. • Perform required monitoring, including required source data verification, and ensure site activities are conducted in established timelines. • Facilitate site budget and site contract negotiations and ensure timely finalization of the required clinical trial agreements for designated sites in collaboration with clinical program management and finance. • Facilitate and support investigator site audits and/or inspection activities as needed. Requirements: • Bachelor’s Degree in a Life Science discipline required • Bachelor’s Degree in Nursing or RN a plus • Minimum 3 years of direct site monitoring experience required • Must be willing and able to travel up to 50-65%