Job Overview – Compliance Officer (Hybrid):
Step into a pivotal role with our client as a Compliance Officer in New York, NY. In this hybrid position, you will oversee the firm’s compliance program, ensuring adherence to the Investment Advisers Act of 1940 and other regulatory standards. Collaborate with internal teams and service providers to maintain a robust compliance culture while managing key projects, regulatory filings, and compliance training initiatives.
Compensation: $130,000 – $160,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Responsibilities as the Compliance Officer:
- Program Oversight: Manage the firm’s compliance program, including policies, the Code of Ethics, and the Regulatory Compliance Manual.
- Regulatory Filings: Prepare and maintain filings such as Form ADV and Form PF.
- Annual Reviews: Oversee the 206(4)-7 annual review process and conduct compliance testing.
- Audits & Monitoring: Lead compliance audits, conduct firm-wide monitoring, and respond to regulatory inquiries.
- Marketing Reviews: Review advertising materials and support the Investor Relations team.
- Training & Support: Lead compliance training programs and assist with compliance-related projects as needed.
Qualifications for the Compliance Officer:
- Education: Bachelor’s degree in Finance, Law, or a related field is required.
- Experience: 4-7 years of compliance experience at an RIA, real estate firm, private equity firm, or asset manager.
- Technical Skills: Strong knowledge of the Investment Advisers Act of 1940 and the Code of Ethics, with required familiarity with the SEC Marketing Rule.
- Skills: Strong organizational, communication, and multitasking abilities, with a service-oriented approach and the capacity to work independently or collaboratively.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.