AVP Compliance

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 ComplianceLocation: New York, NY (hybrid)Salary: $110-145,000yr Key Responsibilities:Serve as firm subject matter expert in Investment Company Act of 1940 and Investment Advisers At of 1940Draft, maintain, and update all policies and procedures related to registered fundsAssist in marketing material review and oversight of client communicationsConduct 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

Created: 2024-11-09