RIA Compliance Officer

Position : Compliance Officer

Location : New York City (Hybrid)

Overview :

A boutique investment management firm is seeking a Compliance Officer to join their team in NYC. This role offers the unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer. Candidates must have their Series 7 and 24 to be considered.

Salary - 120-140k base+ bonus

Key Responsibilities :

• Ensure compliance with all relevant regulations, including SEC and FINRA rules.
• Assist in maintaining and enhancing the firm's compliance program.
• Perform regular reviews, audits, and assessments of internal compliance controls.
• Monitor trading activity to ensure adherence to the firm's policies and regulatory requirements.
• Manage licensing requirements, including registrations and renewals for employees.
• Conduct compliance training for staff to ensure understanding of regulatory requirements.
• Serve as a key point of contact for regulatory inquiries, exams, and audits.
• Assist with filings, regulatory reporting, and preparation for regulatory inspections.
• Stay up-to-date with regulatory developments and communicate necessary changes to the team.
• Collaborate closely with the Chief Compliance Officer to address any compliance-related issues.

Qualifications

• Series 7 and Series 24 licenses are required .
• 3+ years of experience in compliance within investment management, securities, or a related financial field.
• Strong understanding of SEC and FINRA regulations.