Job Title:

Compliance Officer / Compliance Associate

Job Description:

An established New Jersey-based SEC-registered investment adviser (RIA) seeks a Compliance Officer to support its growing team. With over $8 billion in assets under management (AUM) and more than 160 supervised individuals, this privately held firm offers comprehensive financial planning and wealth management services to high-net-worth individuals, family offices, and institutional clients. The firm operates as a “hybrid” RIA, with several advisors dually registered through a prominent third-party broker-dealer.

In this role, you will work closely with the Chief Compliance Officer (CCO) to administer and enhance the firm’s Rule 206(4)-7 compliance program. Your contributions will include maintaining policies, conducting compliance testing, and overseeing risk assessment processes.

Key Responsibilities:

• Administer and monitor the firm’s compliance program.
• Collaborate with the CCO on regulatory interactions.
• Oversee day-to-day activities and compliance-related processes.
• Review and approve client marketing materials, reports, and correspondence.
• Manage the firm’s annual compliance testing and risk assessments.
• Assist with regulatory filings, including Form ADV and Section 13 filings.
• Conduct reviews of remote office operations.
• Monitor the firm’s Code of Ethics compliance platform.
• Maintain and update compliance policies and procedures.
• Design and implement operational and supervisory systems with the CCO.
• Provide periodic compliance training and education to staff.

Qualifications:

• Experience implementing and executing compliance policies and procedures.
• Proficiency in drafting and maintaining regulatory documentation.
• Expertise in reviewing and approving marketing materials, including websites and social media.
• Familiarity with SEC filings and disclosure requirements.
• Ability to research new regulatory initiatives and industry trends.
• Strong organizational and project management skills, with attention to detail.

This is an exceptional opportunity to join a dynamic, client-focused team where your expertise in compliance will make a direct impact.