Compliance Officer-NY-1401

New York City, NY - USA

Monthly Salary: Not Disclosed

Posted on: 30+ days ago

Vacancies: 1 Vacancy

Job Summary

Senior Compliance Associate/Manager

New York New York United States (On-site)

Our client a top-tier UHNW-focused RIA and multi-family office based in New York City is seeking a Senior Compliance Associate/Manager to join its growing team. The role reports directly to the Chief Compliance Officer/In-House Counsel and will be integral in maintaining and enhancing the firms compliance program.

The ideal candidate will have 5 years of relevant compliance experience excellent organizational skills and strong communication abilities.

Key responsibilities include:

Preparing and filing ADV Part 1 and Form PF
Drafting updating and maintaining ADV Part 2A & 2B and Form CRS
Assisting with the firms annual compliance review
Reviewing updating and maintaining compliance manuals
Supporting and participating in employee compliance training
Monitoring compliance systems such as MyComplianceOffice
Supporting NFA filings

This position has the opportunity to advance into the Chief Compliance Officer role in the near future. The firm offers a collaborative and supportive culture hybrid work flexibility excellent work/life balance and a comprehensive benefits package.

Required Experience:

Unclear Seniority

Senior Compliance Associate/Manager New York New York United States (On-site)Our client a top-tier UHNW-focused RIA and multi-family office based in New York City is seeking a Senior Compliance Associate/Manager to join its growing team. The role reports directly to the Chief Compliance Officer/In-H...