Senior Compliance Officer

We are seeking an experienced Senior Compliance Officer for our client. This individual will play a key role in managing and enhancing the firm’s SEC/RIA compliance program, regulatory examinations, surveillance, and risk oversight.

Responsibilities

• Support the development and ongoing management of the firm’s SEC compliance program.
• Monitor regulatory developments and assess their impact on the firm.
• Maintain the Code of Ethics and applicable compliance policies and procedures.
• Lead monitoring, surveillance, supervision, and new business review activities.
• Identify compliance and regulatory risks and implement appropriate controls.
• Serve as a key compliance resource for investment professionals and business leadership.
• Support SEC examinations, regulatory inquiries, and other external reviews.
• Coordinate regulatory requests and documentation with outside counsel and consultants as needed.
• Oversee remediation and corrective actions resulting from regulatory or internal reviews.
• Support compliance training, annual certifications, and internal audits.
• Participate in the onboarding and supervision of investment professionals.

Qualifications

• 8+ years of securities industry experience in compliance or supervision.
• Strong SEC-registered investment adviser (RIA) compliance experience.
• Experience with regulatory examinations, surveillance, monitoring, and risk management.
• Bachelor’s degree required.
• Strong communication, analytical, and organizational skills.
• Bilingual English/Spanish required;
  Portuguese is a plus.