Job Description

Senior Compliance Associate/Manager

New York, New York, United States (On-site)

Our client, a top-tier UHNW-focused RIA and multi-family office based in New York City, is seeking a Senior Compliance Associate/Manager to join its growing team. The role reports directly to the Chief Compliance Officer/In-House Counsel and will be integral in maintaining and enhancing the firm’s compliance program.

The ideal candidate will have 5+ years of relevant compliance experience, excellent organizational skills, and strong communication abilities.

Key responsibilities include:

• Preparing and filing ADV Part 1 and Form PF
• Drafting, updating, and maintaining ADV Part 2A & 2B and Form CRS
• Assisting with the firm’s annual compliance review
• Reviewing, updating, and maintaining compliance manuals
• Supporting and participating in employee compliance training
• Monitoring compliance systems such as MyComplianceOffice
• Supporting NFA filings

This position has the opportunity to advance into the Chief Compliance Officer role in the near future. The firm offers a collaborative and supportive culture, hybrid work flexibility, excellent work/life balance, and a comprehensive benefits package.

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