Job Overview – AVP of Compliance (Generalist & Marketing Material):
Join our asset management client in New York, NY, as AVP of Compliance (Generalist & Marketing Material). In this full-time role, you’ll support compliance for global marketing and distribution of alternative investment products, working closely with legal, regulatory, and broker-dealer teams to maintain compliance processes, filings, and policies.
Total Compensation: $150,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (In-Office)
Responsibilities as the AVP of Compliance:
- Reporting: Oversee broker-dealer reporting requirements, including BD, BR, U4, U5, and FINRA Gateway monitoring.
- Marketing Compliance: Collaborate with Marketing Specialists to review and file materials with FINRA, ensuring compliance with regulatory requirements.
- Management: Maintain and update policies, procedures, and compliance rosters (employee list, branch list, supervisor designations).
- Regulatory Support: Assist with regulatory inquiries, exams, and surveillance activities, ensuring adherence to compliance program requirements.
- Program Oversight: Conduct testing and surveillance for personal trading, OBAs, and other compliance activities, coordinating closely with the Core Compliance team.
Qualifications for the AVP of Compliance:
- Education: Bachelor’s degree in Business, Finance or Law required.
- Experience: 7+ years in Compliance within a broker-dealer, investment adviser, FINRA, or a law firm required.
- Industry Knowledge: Familiarity with SEC, FINRA, state regulatory requirements, and private fund marketing regulations required.
- Skills: Excellent communication, analytical, and problem-solving abilities with strong attention to detail and relationship-building skills.
- Technical Knowledge: Experience with regulatory filings (Form ADV a plus) and compliance within broker-dealer and investment advisory contexts.
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.