Investment Advisor

Compliance Officer, New York, NY

Compliance Officer (New York, NY): Our client an SEC registered Investment Advisor is seeking a Compliance Officer to join their growing team. The firm is also in the process of becoming a broker dealer, which requires this individual to know how to build out effective and intelligent processes and procedures. This candidate will be working with the firm’s regulators and internal teams; leading the compliance organization while providing guidance and support to various teams and senior management throughout the organization; developing and delivering training on compliance policies and procedures to ensure proper understanding of regulatory related risks; and ensuring that appropriate regulatory regulatory policies and controls are established, maintained and well documented.  S/he will also be responsible for working with the firm’s broker dealer team to manage KYC process, AML program, risk control framework, written supervisory procedures and reviewing of customer complaints and suspicious activity reports; taking ownership of all ongoing compliance review processes including annual meetings, Form ADV and Rule 206(4)-7 reviews; partnering with the Legal team to analyze changes to regulatory requirements and proactively manage regulatory developments; and finally managing/coordinating SEC and FINRA regulatory examinations. The ideal candidate will have a minimum of 6 years of experience as a compliance professional at a SEC-registered investment advisor, broker dealer, or regulator (preferably experience with both a broker dealer and investment advisor operations); substantial experience managing regulatory audits; thorough knowledge of the rules and regulations surrounding SEC-registered investment advisors; and excellent communications skills as this is a high visibility position. CFA, JD, and MBA preferred but not required. 


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