Compliance Associate

JCW is supporting a high growth fintech and its SEC-registered investment adviser to hire a Compliance Associate. This hire reports directly to the Chief Compliance Officer and plays a hands-on role in running and improving the firm’s advisory compliance program, with room to shape the program as the business scales. This role is suited to an individual with 3-4 years of RIA Compliance experience looking to take on a large degree of autonomy with an organization poised for rapid growth. Please note this is fully in-office role, 5 days on-site per week (Manhattan).Responsibilities Administering the Code of Ethics: personal trading pre-clearance, holdings and transaction reporting, attestations, and gifts & entertainment Supporting regulatory filings, including annual and other Form ADV amendments (Parts 1, 2A and 2B), Form CRS, and related state and SEC filings Running surveillance and monitoring, including e-communications review, trade monitoring, and marketing review under the Marketing Rule Helping with the annual compliance program review, risk assessments, and testing under Rule 206(4)-7Maintaining policies and procedures, books and records, and compliance calendars Supporting regulatory exam readiness and responses to SEC document requests Delivering compliance training and acting as a go-to resource for the business