- New York, New York, United States
- Full-time · Executive
- $120K–$250K per year
- 10+ years
Leads the development, implementation, maintenance, and administration of the regulatory compliance program for a U.S. registered investment adviser (RIA). Acts as the designated Chief Compliance Officer of the RIA.
Compensation
Salary: $120,000.00 - $250,000.00
Responsibilities
- Leads the development, implementation, maintenance, and administration of the regulatory compliance program for a U.S. registered investment adviser (RIA).
- Oversees the establishment of a comprehensive compliance framework in connection with the entity's SEC registration.
- Provides regulatory compliance advice and oversight relating to investment advisory activities, fund operations, and related business initiatives.
- Coordinates and performs regulatory risk assessments, monitoring, testing, and surveillance activities.
- Works with business/group management, Legal, Risk and other internal partners to ensure regulatory, corporate, and fiduciary obligations are met.
Requirements
- post-secondary degree in a related field
- Nice to have: Certified Investment Management Compliance Professional (IACCP)