ECG Resources, Inc.
Executive Assistant, ECG Resources, Wealth Management Executive Search
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. Responsibilities
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. Qualifications
5+ years of relevant compliance experience Excellent organizational skills Strong communication abilities Experience with regulatory filings such as ADV, Form PF, Form CRS, and NFA filings (preferred) Compensation and Benefits
Hybrid work flexibility, competitive benefits package, and a pathway for advancement to Chief Compliance Officer. Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Management
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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. Responsibilities
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. Qualifications
5+ years of relevant compliance experience Excellent organizational skills Strong communication abilities Experience with regulatory filings such as ADV, Form PF, Form CRS, and NFA filings (preferred) Compensation and Benefits
Hybrid work flexibility, competitive benefits package, and a pathway for advancement to Chief Compliance Officer. Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Management
#J-18808-Ljbffr