A leading FinTech in NYC is looking to bring on an AVP Compliance to its RIA arm. This position will serve as the regulatory counterpart to the VP, Legal, and work together on all legal & regulatory functions related to registered funds.
Title: AVP Compliance
Location: New York, NY (hybrid)
Salary: $110-145,000/yr
Key Responsibilities:
- Serve as firm subject matter expert in Investment Company Act of 1940 and Investment Advisers At of 1940
- Draft, maintain, and update all policies and procedures related to registered funds
- Assist in marketing material review and oversight of client communications
- Conduct firm-wide compliance trainings as necessary
Key Requirements:
- Bachelor's degree in related field
- Series 7 and 24 license (strongly preferred)
- At least 5 years' experience in a regulatory role within an RIA or working with RIA clients
