Robert Half Chief Compliance Officer - Wealth Management in New York, New York
Robert Half Financial Services is recruiting for a Chief Compliance Officer role for a well-established Registered Investment Advisor/Wealth Management firm located in midtown Manhattan. Our client requires active Series 7 and 24 FINRA licenses, 10+ years of RIA/Wealth Management Compliance experience working directly with the wealth advisors as a compliance officer, and knowledge of the 1940 Investment Advisers Act. The role reports directly into the Managing Partners and is hybrid remote requiring 3 days per week in the midtown Manhattan office.
• Responsible for overseeing and ensuring adherence to regulatory guidelines and industry standards towards wealth management advisory practice and limited purpose broker-dealer.
• Remain current with new regulatory and market developments to mitigate compliance risk, preventing financial misconduct and preserving the firm’s integrity of its operations.
• Update, maintain, and monitor the Firm’s compliance program and implement industry best business practices in line with the Firm’s risk profile while upholding the highest ethical standards.
• Partner directly with the wealth advisors as a compliance officer.
• Conduct compliance audits, annual compliance reviews and oversee regulatory exams as well as program violations and discipline.
• Monitor personal securities trading of investment adviser personnel, Firm’s restricted list, record retention, and email surveillance and perform regulatory reporting to relevant authorities.
• Conduct the annual assessment of the compliance program; perform various forensic testing procedures with a view to identifying potential compliance risks.
• Develop and conduct employee compliance training relating to policies and procedures and any program amendments.
• Prepare and maintain annual updates and amendments to fund registration statements and other regulatory filings, Form U4, U5, ADV, CRS, proxy statements and related filings.
• Review of marketing materials and investor presentations, correspondence, and RFP/RFI/DDQs.
• Manage approvals for Code of Ethics, outside business activities, political contributions, and other Firm policies and procedures.
• Review, analyze and respond to regulatory inquiries, including relating to the SEC, FINRA, etc.
• Oversee outside consultants and third-party compliance service providers.
10+ years of RIA/Wealth Management Compliance experience at a $5+bn AUM investment advisory firm or private bank
Active Series 7 and 24 FINRA licenses
Experience working directly with the wealth advisors as a compliance officer
Experience reviewing and interpreting statutes, rules and regulations, with knowledge of U.S. securities laws a plus (including Investment Advisers Act of 1940, Securities Act of 1933 (including Regulation D), the Securities Exchange Act of 1934, and the Investment Company Act of 1940).
Knowledge and experience in trust, fiduciary, ERISA and private banking
This Chief Compliance Officer role requires someone to work 3 days per week 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 dependent on experience, an initial range is $250-300k base plus $100-125k target bonus. If your profile matches the above criteria, please email me directly and add me on LinkedIn, Trishan Khareghat
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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.