Senior Associate, Compliance - NY

Senior Associate, Compliance
New York, New York

We are looking for an exceptional Compliance professional to support the growth of our multi-family office and investment advisory firm.  This is an opportunity to work within the Compliance team led by the Chief Compliance Officer.  The Compliance team works closely with our partners across the advisory and investment businesses, within a firm united by a passion for service, strong sense of integrity, and desire to have a positive impact in the world.  We strive to create a best-in-class compliance program in support of serving clients at the highest level of trust and partnership, and to reflect the firm’s commitment to meeting our regulatory obligations and managing risk. 

About the Role

The Senior Associate of Compliance will be responsible for a number of critical regulatory and compliance processes for the firm, including the policies and procedures relating to the firm’s wealth management and private fund business activities. Primary responsibilities will evolve over time as the business growth continues and will reflect the candidate’s level of experience. Responsibilities will generally include some or all of the following:  

• Ensure the firm’s compliance with regulatory obligations through creation and maintenance of policies and procedures
• Manage regulatory filings and maintain related procedures
• Review and approval of marketing and client communications, in close collaboration with client coverage and investment teams
• Manage the firm’s compliance training program
• Maintenance of the firm’s privacy policy and related procedures
• Manage audit and testing reviews, working with business units to resolve findings and remediation items
• Approve employee activities relating to the firm’s Code of Ethics policies
• Monitoring and surveillance of employee activities, including electronic communications
• Provide compliance oversight of the investment activities, including in relation to the firm’s private funds, ensuring compliance with the firm’s Conflicts of Interest, Handling of MNPI, Valuation, Allocation, Trading, and other related policies
• Provide compliance oversight of the firm’s client and investor on-boarding activities
• Compliance coverage of the firm’s Vendor Management, Information Security, Cybersecurity and Books and Records programs
• Responsible for surveillance tasks to verify the firm’s compliance with policies and procedures
• Create and maintain reporting of Compliance activities, including remediation and exception reporting, to senior management
• Support strategic projects across business functions to ensure Compliance requirements are met

About You

This role might be right for you if you: 

• Have 4 - 6 years of experience working in a compliance role at a financial services firm
• Have knowledge of the SEC’s Investment Advisers Act of 1940
• Have experience supporting a compliance program for a registered investment adviser, ideally for both wealth management and private funds businesses
• Have managed regulatory change implementation including rule analysis, policy development and training
• Are familiar with marketing and solicitation rules in non-U.S. jurisdictions
• Have experience developing processes and “operationalizing” compliance functions
• Are willing to learn and leverage technology tools to help drive efficiency and progress
• Are well-organized and pay attention to the details
• Like to “roll up your sleeves” and get things done
• Enjoy solving problems and finding creative solutions for our clients
• Don’t get flustered easily
• Can communicate effectively with a broad range of stakeholders
• Are discreet in handling sensitive and confidential information
• Work well independently and as part of a team
• Have a bachelor’s degree with 7+ years of professional work experience (JD from an accredited law school is a plus)

Compensation & Benefits

Compensation at Jordan Park includes a base salary, discretionary year-end bonus, benefits and other perks.  We apply a total reward philosophy when determining compensation terms.

The expected base salary for this role in New York, New York will range from $125,000 - $135,000 per year commensurate with experience, job-related skills, relevant education, licenses and certifications, and other business and organizational needs.

Our benefits package includes: 

• Medical, dental & vision insurance – 100% of premium covered for employees
• 401k participation with employer contribution
• Generous paid time off 
• Commuter benefits program (pre-paid tax dollars towards your commute)
• Fitness Reimbursement
• Annual Professional Development Stipend