Pinnacle Career Coaching ยท 3 days ago
Compliance Manager
New York, NY
Full-time
Hybrid
Senior Level
$130K/yr - $150K/yr
5+ years expPinnacle Career Coaching is working with a growing RIA business to add a Compliance Manager to their team. The role involves supporting the GC/CCO on core compliance activities, leading the compliance program, and ensuring adherence to regulatory requirements.
Staffing & Recruiting
Hiring Manager
Thomas Byrne
Responsibilities
Marketing Compliance Support, ensuring adherence to both SEC and FINRA rules and regulations to marketing
Lead the build-out of the compliance program
Conduct compliance program due diligence and gap analyses on acquisitions and commercial partnerships, aligning with centralized compliance framework
Take the lead on the annual compliance reviews and ongoing risk assessments, analysing opportunities for improvement
Working closely with the GC/CCO to support on SEC examinations and communicating effectively between the regulator and senior leadership
Draft, update, and implement firm policies and procedures in line with evolving regulatory requirements and business practices
Training & Education: Deliver training to advisers and staff on compliance policies, regulatory updates, and industry developments
Qualification
Required
Bachelors degree level educated
5+ years of experience ideally with an RIA or dual registered RIA/BD
Strong knowledge of the Advisers Act (1940) and experience implementing compliance programs in line with rules and regs
Preferred
Further degrees are beneficial but not required
Company
Pinnacle Career Coaching
We are a specialist financial services recruitment and career coaching service helping professionals reach their professional pinnacle.
0-1 employees
Funding
Current Stage
Early StageLeadership Team
Thomas Byrne
Founder
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