Job Description

Location: Westchester County, NY

Compensation: $175K-$225K total compensation

Key compliance responsibilities and tasks will include the following:

• Support CCO: Assist the Chief Compliance Officer with day-to-day compliance functions, ensuring adherence to policies, reporting deadlines, and ongoing regulatory updates.
• Regulatory Monitoring & Reporting: Ensure the firm is in compliance with regulations (e.g., SEC, AML, Privacy Regulations, FINRA) and internal policies.
• Documentation & Recordkeeping: Maintain up-to-date compliance records, regulatory filings, and necessary documentation (e.g., Form ADV, compliance reports) and maintain ComplySci system.
• Employee Compliance: Ensure staff compliance on all regulatory matters and company policies, including ethical standards, securities reporting and attestations through ComplySci.
• Internal Compliance Reviews: Assist with periodic internal compliance audits, risk assessments, and monitoring of investment activities to ensure adherence to fund policies.
• Employee Onboarding & Offboarding: Oversee the onboarding process for new hires, following compliance procedures and firm requirements. Manage offboarding process. Assist CFO with employee term sheets, employment and separation agreements.

Requirements

• Bachelor’s degree required. Post graduate degree (JD or MBA) a plus but not required
• 5+ years of compliance related work experience
• Solid knowledge of relevant SEC regulatory requirements related to the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934 and the rules and regulation thereunder

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