A growing, international investment advisor is seeking a compliance officer for their US expansion. This role will establish all necessary licenses for a broker dealer and investment advisor and will serve as the main regulatory contact. In addition, the position will build out the US compliance program with support from the Global Chief Compliance Officer. Ideally, this position will serve in a part time or contract to perm capacity until the licenses are established and the NY Office opened.
- 7+ years experience within regulatory compliance
- Familiarity with applicable regulations and the IA/BD licensing process
- Experience building a compliance program
- JD preferred