Compliance Officer-NY-1401
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 firm’s 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 firm’s 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.
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