Compliance Associate

A fast-growing financial technology firm is seeking a Compliance Associate to support its expanding private-fund advisory and investment platform. This is an opportunity to join a lean, high‑ownership team operating at the intersection of technology, private funds, and regulatory compliance. You will work directly with the Head of Compliance and gain exposure to the full regulatory and operational lifecycle of both a broker‑dealer and an investment adviser.

Responsibilities :

• Execute the firm's compliance management program, including updates to manuals/procedures, risk assessments, and required testing under Rule 3120/3130 and Rule 206(4)-7.
• Manage key regulatory reporting tasks: Web CRD administration, Form ADV updates, Form PF support, Schedule 13 filings (13F/13H), 314(b) reviews, and AML-related certifications and filings.
• Review marketing and electronic communications to ensure compliance with SEC and FINRA requirements.
• Support AML and general compliance operations, including watchlist reviews, employee certifications, research, and regulatory document production.

Additional Responsibilities

• Prepare responses and documentation for SEC, FINRA, and state regulatory audits/exams.
• Collaborate with Engineering to automate compliance workflows and improve internal controls.
• Contribute to Fund Administration, Corporate Governance activities, and SOC-related operational controls.

Ideal Requirements :

• 3+ years of compliance experience at an RIA, broker-dealer, private fund administrator, or fintech.
• Hands-on experience with compliance testing, workpapers, findings, and remediation tracking.
• Familiarity with SEC/FINRA regulations related to Private Funds-Reg D, Rule 506, Blue Sky filings, and adviser obligations.
• Strong understanding of investor onboarding processes, including AML/KYC and subscription documentation.
• Excellent written communication and documentation skills.
• Proactive ownership mindset and comfort working with senior stakeholders.
• Interest in growing into a senior compliance role with deeper involvement in fund formation.

Nice to Have

• Experience with alternative investments or private fund operations.
• Exposure to wrap programs or robo‑advisor platforms.
• Familiarity with compliance technology (Hadrius, COMPLY, RedOak, etc.).
• Experience with SOC testing or vendor management.

Licenses

• Series 7 and Series 24 preferred, or willingness to obtain within 6 months.