Associate, Compliance
$90,000–$120,000 year
On-site · New York City, New York, United States
New York City, New York, United StatesOn-siteFull Time$90,000–$120,000 yearMid LevelNot SpecifiedUnknown
Type
Full Time
Level
Mid Level
Education
Not Specified
Company size
Unknown
Job Summary
Compliance Associate to support SEC-registered adviser and FINRA broker-dealer operations; review marketing collateral for compliance with SEC Marketing Rule and FINRA Rule 2210; assist with certifications, licensing processes, regulatory filings (ADV update, Form PF, Form D), and training on compliance policies; NY-based role with competitive compensation and benefits.
Required Qualifications
- 4-6 years experience as a compliance professional at a registered investment adviser to private funds and/or registered funds or a FINRA registered broker-dealer
- Experience reviewing marketing collateral for compliance with the Marketing Rule of the Advisers Act
- Series 7 and Series 24 Licenses (or a willingness to obtain licenses)
- Excellent writing, communication, project management, and organizational skills
- Familiarity with Advisers Act and FINRA rules and regulations and the Investment Company Act
- ACA ComplianceAlpha experience (preferred)
- Willingness to obtain required licenses
- Strong problem-solving abilities and ability to operate in a fast-paced environment
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