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Atlantic Group · 2 days ago

Compliance Officer (Hybrid)

New York, NY

Full-time

Hybrid

Mid, Senior Level

$130K/yr - $160K/yr

4+ years exp

Atlantic Group is seeking a Compliance Officer in New York, NY. In this hybrid position, you will oversee the firm’s compliance program, ensuring adherence to regulatory standards while managing key projects and compliance training initiatives.

B2BHuman ResourcesStaffing Agency

Growth Opportunities

Responsibilities

Program Oversight: Manage the firm’s compliance program, including policies, the Code of Ethics, and the Regulatory Compliance Manual

Regulatory Filings: Prepare and maintain filings such as Form ADV and Form PF

Annual Reviews: Oversee the 206(4)-7 annual review process and conduct compliance testing

Audits & Monitoring: Lead compliance audits, conduct firm-wide monitoring, and respond to regulatory inquiries

Marketing Reviews: Review advertising materials and support the Investor Relations team

Training & Support: Lead compliance training programs and assist with compliance-related projects as needed

Qualification

Investment Advisers ActCompliance experienceCode of EthicsSEC Marketing RuleMultitasking abilitiesService-oriented approachOrganizational skillsCommunication skills

Required

Bachelor's degree in Finance, Law, or a related field is required

4-7 years of compliance experience at an RIA, real estate firm, private equity firm, or asset manager

Strong knowledge of the Investment Advisers Act of 1940 and the Code of Ethics, with required familiarity with the SEC Marketing Rule

Strong organizational, communication, and multitasking abilities, with a service-oriented approach and the capacity to work independently or collaboratively