Client: Leading Investment Management Firm (IPO)
Location: New York City or Dallas - Hybrid
Role / Requirements:
- Series 7, 24
- RIA and/or broker-dealer compliance experience
- Previous exposure to RIAs, REIT, mortgages, and similar investment strategies preferred
- Leadership experience in leading a small team (2)
- Will oversee ownership of the annual review of the RIA, own all regulatory findings, compliance training, etc.
- Experience using My Compliance Office system
- JD preferred, open to granting Associate General Counsel title as well
Compensation:
$300,000 - 400,000 total comp + stock options