Due to recent growth This Midtown Wealth Management leader with over $20B in AUM seeks an exceptional individual to join their Legal and Compliance team. This is a newly created position to join a seasoned team working in close coordination with the Chief Compliance Officer. This is an exceptional opportunity to interact with the Firm's Portfolio Managers and support the executive leadership team in connection with a wide variety of compliance, regulatory, and risk management issues.

Specific Responsibilities

• Assist with the development and implementation of the Firm's policies and procedures
• Surveillance of investments (including for insider trading, anti-money laundering and market manipulation)
• Conduct surveillance of personnel activities (including for Code of Ethics, personal trading, registrations and licensing, and special supervisory issues)
• Perform Compliance monitoring, testing and reporting for FINRA and SEC annual review purposes
• Manage relationships with external compliance resources
• Assist with regulatory reporting and regulatory filings and related oversight

Qualifications

• BA / BS degree required
• Law or advanced degree a tremendous plus
• Minimum of 3-5 years of investment advisory firm compliance experience
• Knowledge of Investment Advisers Act of 1940 and SEC Act of 1934
• Subject matter expertise in investment advisory firm compliance
• Experience responding to regulatory inquiries and examinations by the SEC and/or FINRA
• Experience advising and interacting with Portfolio Managers and traders in an investment advisory firm setting
• Facility with compliance-related technologies and systems, and a willingness and ability to expand existing technology skills.
• Familiarity with regulatory and compliance issues relevant to financial technology
• Preference for candidates with prior experience with a regulator (ideally SEC)

This exceptional career opportunity will not last long so send your resume today!