Green Key Resources ยท 1 month ago
Compliance Associate- RIA/Investment Adviser
NYC Metro Area
Full-time
Hybrid
Mid, Senior Level
$110K/yr - $145K/yr
3+ years expGreen Key Resources is a consulting firm based in the NYC area seeking a Compliance Professional with a focus on the RIA/Investment Adviser space. The role involves assisting clients with regulatory examinations, advising on compliant business practices, and maintaining compliance programs.
RecruitingStaffing Agency
Responsibilities
Work closely on compliance matters with client personnel
Assist RIA clients through regulatory examinations and respond to regulatory inquiries
Advise clients regarding compliant business practices Establish and/or maintain a compliance program
Write, edit, and maintain Compliance Manuals and Code of Ethics Procedures
Assist with annual reviews
Drafting Form ADV amendments
Review marketing materials
Assist in all regulatory examinations and inquiries
Participating in SEC mock exams
Create RIA and client relationships via networking with our clients and contacts
Qualification
Required
3-8 years of direct RIA experience
Demonstrated understanding of the Investment Advisers Act of 1940
Solid analytical and research skills
Bachelor's degree in related field
Excellent communication skills, writing skills, interpersonal skills, and a strong presence
Strong attention to detail
Highly organized
Adaptable personality (to work closely with a highly diverse client base)
Position open to candidates residing anywhere in the U.S
Some travel may be required
Preferred
Experience in various types of RIA business lines a plus
Broker-dealer compliance experience a plus
Company
Green Key Resources
Green Key Resources provides career counselling.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Dave Singh
Partner, CIO & CTO
Michael Mirabal
Chief Financial Officer
Recent News
2025-09-17
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