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Regulatory Compliance Officer

  • Location

    New York, New York

  • Sector:

    Financial Services and Banking

  • Salary:


  • Contact:

    Alessandra Recht

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    over 1 year ago

  • Expiry date:


  • Startdate:


We are wiring with a large and expanding Consultancy, who are hiring for senior level individuals to focus on the Asset Management clients. This opportunity is a Regulatory Compliance Officer and will be located primarily in New York. Travel will be required and here is the overview of the role:


  • Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
  • Reviewing marketing and advertising materials for compliance.
  • Review of clients’ AML compliance documents
  • Monitor clients’ firm trading activities (email review, compliance firm functions) and maintain restricted lists.
  • Conduct training of our clients' employees and management regarding the Advisers Act; conflicts of interests, insider trading, cross trades)
  • Design and monitor surveillance programs, testing systems, and technology infrastructure


  • Bachelor’s degree  
  • 4+ years of relevant compliance experience at a registered investment adviser, law firm, or consulting firm
  • Strong working knowledge of both FINRA, CFTC, NFA and SEC Exam practices is also needed
  • A JD is Preferred

If this opportunity interests you, please get in touch with an updated resume!