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Compliance Officer (NYC)- Code of Ethics

Job Description


Title: “Compliance Officer” within Legal and Compliance Department

Location: New York, NY (currently remote)

Salary: $90-105K + bonus

Notes: Permanent, direct-hire. Full-time.




The successful candidate will be responsible for implementing and enhancing firm’s compliance program under the direction of a Senior Compliance Manager. The candidate will help ensure the investment advisers and broker-dealer’s compliance with all applicable regulations, particularly the requirements of the SEC, CFTC FINRA and other regulators.



  • Assist with the administration of the Firm’s Code of Ethics, including but not limited to the preclearance of personal trades, outside business activities, and political contributions
  • Assist with broker-dealer licensing and registrations including processing U4/U5 submissions and amendments
  • Assist in ensuring the timely and accurate filing of all regulatory reports for the adviser and broker-dealer
  • Assist in review of marketing materials
  • Help evaluate the adequacy and effectiveness of firm’s policies, procedures and internal controls
  • Assist in the annual review of applicable policies and procedures
  • Perform daily surveillance of e-communications of the adviser or broker-dealer personnel
  • Investigate compliance issues as needed and report findings back to senior management
  • Perform general compliance and operational risk related functions as instructed; and participate in compliance related projects as needed


Experience and Requirements:

  • BS/BA preferred
  • A good understanding of the securities business 2+ years
  • Good interpersonal skills and effective writing, analytical, and communication skills
  • General knowledge of SEC and FINRA rules and securities laws including the Investment Company Act of 1940. 
  • Knowledge of the Investment Advisers Act of 1940 is a plus
  • Experience with StarCompliance, or FINRA Series 7 and 24 registration is a plus