RIA Compliance Associate

JCW is supporting a high growth fintech and its SEC-registered investment adviser to hire a Compliance Associate. This hire reports directly to the Chief Compliance Officer and plays a hands-on role in running and improving the firm’s advisory compliance program, with room to shape the program as the business scales.

This role is suited to an individual with 2-4 years of RIA Compliance experience looking to take on a large degree of autonomy with an organization poised for rapid growth.

Please note this is fully in-office role, 5 days on-site per week (Manhattan).

Responsibilities

• Administering the Code of Ethics: personal trading pre-clearance, holdings and transaction reporting, attestations, and gifts & entertainment
• Supporting regulatory filings, including annual and other Form ADV amendments
• Running surveillance and monitoring, including e-communications review, trade monitoring, and marketing review under the Marketing Rule
• Helping with the annual compliance program review, risk assessments, and testing under Rule 206(4)-7
• Maintaining policies and procedures, books and records, and compliance calendars
• Supporting regulatory exam readiness and responses to SEC document requests
• Delivering compliance training and acting as a go-to resource for the business

Requirements

• 2–4 years of compliance experience supporting an SEC-registered investment adviser, from an RIA, asset manager, wealth platform, fintech, or consultancy. JD not required but a plus.
• Practical working knowledge of the Investment Advisers Act and related rules
• Direct experience with Form ADV and Code of Ethics administration
• Support for at least one SEC examination, from document requests through response
• Strong organization, attention to detail, and comfort in a fast-moving, tech-driven environment