Chief Compliance Officer


Financial Services


New York, New York

Employment Type



Our client is a boutique, established Wealth Manager Registered Investment Advisor, looking to hire a Chief Compliance Officer in NYC. This will be a hybrid work environment with excellent benefits and great team culture!  

Compensation : $200000 - $300000
Job ID : 27041

Job Function:

  • Oversee and run the firm's Compliance Program.
  • Work closely with C-Suite Executives to ensure the firm's Compliance program is both well run and current.
  • Working with Regulators, such as FINRA and the SEC. to ensure that the firm is current on new rules/regs.
  • Maintain and update the Compliance Manual.
  • Monitor Personal Trading, and restricted Trading lists.
  • Perform Marketing Material Review.
  • Supervise and manage the annual Compliance Audit.  
  • Collaborate with outside Counsel and 3rd party Compliance Consultants to ensure the best practices.  
  • Train and manage JR Compliance members.

Job Requirements:

  • Series 24 license is mandatory as well as a clean U4/U5.
  • Experience with Wealth Advisory/Wealth Management
  • 7 years’ + experience at an RIA with Wealth Advisory and Broker-Dealer  
  • Experience with the 1933, 1934, and 1940 Acts.
  • Knowledge of Alts, such as Hedge Funds, and PE.
  • Fund formation experience.
  • JD is not required.

Disclosure: The hourly rates and/or salaries listed may or may not reflect total compensation packages including bonus and fringe benefits, etc., nor are the advertisement(s) posted a guarantee of a certain compensation package for a position or bona fide offer of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.