• Associate Director of Compliance - RIA

    Robert Half Finance & Accounting (New York, NY)


    Description

    Robert Half Financial Services are currently recruiting for an Associate Director of Compliance role for a $100+bn AUM Global Investment firm based in midtown Manhattan New York. Our client requires 8+ years Investment and Broker Dealer Compliance experience within a Registered Investment Advisor (RIA), with strong knowledge of SEC, FINRA and 1940 Act Regulations. Must have experience with compliance advisory, policies/procedures, regulatory filings, marketing review, code of ethics and personal trade review. Holding FINRA Series 7, 24 or 14 Licenses are advantageous. The role is 3 days per week in the midtown Manhattan office (Tuesday-Thursday).

    Responsibilities

    + Assist in the management of firm’s compliance program and strategic initiatives with a focus on regulatory requirements and other obligations

    + Provide compliance advisory services to business units with respect to rules, activities, and best practices

    + Manage regulatory filings including Form ADV, Form PF, Form Ds, OSC filings, routine broker dealer related filings such as U4s, U5s

    + Manage annual compliance reviews for registered investment advisers and a broker dealer

    + Assist with a global compliance monitoring plan as it relates to internal risk and compliance reporting including Code of Ethics reporting, expense allocations, deal allocations, AML queries, marketing material review, etc.

    + Review marketing and brand documents for compliance with advertising rule requirements from a US and Canadian perspective

    + Assist with initial, annual and ad hoc compliance training

    + Monitor regulatory change as applicable to the firm

    + Act as a secondary point of contact for regulators (e.g. SEC, FINRA, OSC, etc.)

    + Assist with AML compliance obligations and queries including investor onboarding and KYC issues

    + Update policies and procedures

    + Engage and manage services providers including compliance consultants and outside counsel

    + Manage Canadian regulated filings and obligations as required under Canadian license as either an exempt market dealer or fund manager

    + Contribute to other strategic projects including advisory work associated with new product development

    + Collaborate with global stakeholders to ensure consistency in approach with respect to executing the compliance program

    + Oversee and contribute to the development and maintenance of group policies and procedures to ensure effective compliance and risk management outcomes are achieved

    Requirements

    Qualifications

    + 8+ years Investment and Broker Dealer Compliance experience within a Registered Investment Advisor (RIA)

    + Strong knowledge of SEC, FINRA and 1940 Act Regulations.

    + Must have experience with compliance advisory, policies/procedures, regulatory filings, marketing review, code of ethics and personal trade review.

    + FINRA Series 7, 24 or 14 Licenses are advantageous.

    + Bachelor Degree.

     

    The Associate Director of Compliance role requires 3 days per week working in the midtown Manhattan office, so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is flexible dependent on experience, the range is $200-230k base plus bonus. If your profile matches the above criteria, please add me on LinkedIn and email me directly. Trishan Khareghat

     

    Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

     

    Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

     

    All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

     

    • 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) .