Compliance Officer

About This Role

Oversee and manage the firm's compliance program, ensuring adherence to the Investment Advisers Act of 1940 and other regulatory standards for a financial services client in New York, NY.

Responsibilities

• Manage the firm’s compliance program, including policies, the Code of Ethics, and the Regulatory Compliance Manual
• Prepare and maintain regulatory filings such as Form ADV and Form PF
• Oversee the 206(4)-7 annual review process and conduct compliance testing
• Lead compliance audits, conduct firm-wide monitoring, and respond to regulatory inquiries
• Review advertising materials and support the Investor Relations team
• Lead compliance training programs and assist with compliance-related projects as needed

Requirements

• Bachelor’s degree in Finance, Law, or a related field
• 4-7 years of compliance experience at an RIA, real estate firm, private equity firm, or asset manager
• Strong knowledge of the Investment Advisers Act of 1940
• Knowledge of the Code of Ethics
• Familiarity with the SEC Marketing Rule

Qualifications

• Bachelor’s degree in Finance, Law, or a related field
• 4-7 years of compliance experience at an RIA, real estate firm, private equity firm, or asset manager