Compliance Officer (Investment Adviser Act of 1940 Required)

Finance
New York, NY, USA
April 22, 2024
$140,000 - $150,000
Full Time
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  • Job Description

Who They Are

Our client isn’t just an investment management firm; they’re architects of the future, managing over $200B in Assets under Management with a commitment beyond profits. Due to the organization’s growth, they seek an exceptional individual to join its Investment Advisory Compliance team to support the Firm’s compliance program regarding its regulatory, contractual, and compliance requirements associated with its activities as a registered investment adviser.

This is an excellent opportunity for a proactive and diligent professional who thrives in a fast-paced environment and is committed to upholding the highest standards of compliance.

What You Will Do

In this role, you will focus on administering their compliance risk monitoring program, which includes reviewing policies and procedures, conducting forensic testing and monitoring of controls, and implementing action plans. Your responsibilities will also include tracking regulatory updates and implementing changes to comply with new and amended regulations, facilitating the independent annual compliance review and other internal and external audits,

Specific Responsibilities include:

  • Administering the Compliance Risk Monitoring Program, including testing and recommending enhancements to internal controls.
  • Ensuring compliance with the Investment Advisers Act of 1940, Rule 206(4)-7, federal securities law, and other relevant regulations.
  • Drafting and implementing procedures for compliance monitoring.
  • Continuously refining compliance policies to meet evolving regulations.
  • Provide support for regulatory filings, including Form ADV and Form PF;
  • Develop and deploy compliance training
  • Analyzing regulatory updates and their business impact.
  • Serving as a compliance liaison for various initiatives.
  • Manage conflicts of interest and oversee audits and regulatory filings.
  • Developing compliance training and supporting the process of onboarding new clients

What They Need

  • Minimum 5+ years of compliance experience in investment advisory, focusing on testing and risk assessments.
  • In-depth knowledge of the Investment Advisers Act of 1940 and securities laws.
  • Series 7 & 24 licenses a plus
  • Excellent communication and influencing skills.
  • Proven ability to multitask and prioritize in a fast-paced environment.
  • Strong analytical and research abilities.
  • Proficiency in MS Office, especially Excel and PowerPoint.

What They Offer 

  • Career Progression: Opportunity to grow, learn, and lead within an innovative atmosphere.
  • Work-Life Balance: Enjoy their hybrid work model with remote work flexibility.
  • Generous Benefits Package: premium medical, paid time off, retirement profit sharing, wellness reimbursement, comprehensive parental leave, family planning support, paid primary care membership, mental wellness benefits
  • Competitive Salary & Incentives: $140,000 – $150,000 base salary (DOE) with opportunities for a discretionary annual bonus

If you are ready to elevate your career and become an integral part of a company where your contributions directly impact its success, Apply Now!

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