RIA Compliance Director Job at Landing Point, New York, NY

eFBSalJRMFR4VmF0bjV5Q2wyaG9SWFFGbnc9PQ==
  • Landing Point
  • New York, NY

Job Description

Head of Compliance

Location: Midtown Manhattan (5 days in-office)

Overview:

A rapidly growing firm that recently completed a successful Series B fundraising round is seeking their first fully dedicated Head of Compliance. With 38 employees globally (18 in NYC), the firm is registered with both the SEC and FINRA and is poised for its next phase of growth. This is a rare opportunity to build, shape, and lead a comprehensive legal and compliance function from the ground up.

The ideal candidate will have a JD and 7-12 years of compliance experience specifically within a registered investment advisory firm.

Key Responsibilities:

  • Design and implement a scalable compliance framework across the organization
  • Develop and maintain policies and procedures in alignment with SEC and FINRA regulations
  • Serve as the primary point of contact for all regulatory compliance matters
  • Oversee day-to-day compliance operations, including surveillance, testing, and reporting
  • Collaborate with senior leadership on strategic initiatives and risk assessments
  • Serve as a trusted advisor on all legal and regulatory developments impacting the business

Qualifications:

  • Juris Doctor (JD) required
  • Prior compliance experience within a registered investment adviser (RIA), broker-dealer, or FinTech firm
  • Proven ability to lead compliance initiatives in a fast-paced, entrepreneurial environment
  • Deep knowledge of SEC and FINRA regulatory frameworks

Compensation: $250K–$275K base + cash bonus (up to 350k all-in) + equity (depending on experience)

Job Tags

Similar Jobs

Exec

Leadership Coach Job at Exec

 ...Exec is seeking experienced Leadership Coaches to join our team. As a Leadership Coach at Exec, you will have the opportunity to directly work with our corporate clients, helping them to accelerate their career growth and reach their potential. Responsibilities:... 

Holiday Station Stores - Workday

Store Manager Job at Holiday Station Stores - Workday

 ...job duties, responsibilities and requirements: Leadership and Management: Directly supervises the activities of 2 or more full-time...  ...Develops, manages and assigns tasks appropriately to ensure the store is clean, adequately stocked, organized and well-kept based on... 

LanceSoft

Travel Respiratory Therapist - $2,481 per week Job at LanceSoft

 ...rotation at least 3 years of experience working in an acute care setting High degree of proficiency working with Ventilators...  ...Centers, Drug & Alcohol Facilities, Home Health & Community Health, Urgent Care Clinics, and many other provider-based facilities.... 

Headway

LPC (Virtual) Job at Headway

 ...scheduling and the capability to conduct therapy online or in-person, counselors can efficiently...  ..., so that you can set the hours that work for you. Grow your caseload by providing...  ...via telehealth while working from home. We accept the following licenses on a state... 

Headway

Licensed Mental Health Therapist (Virtual) Job at Headway

 ...Therapist, you will have the opportunity to work remotely and manage your own private...  ...remotely via telehealth while working from home. We accept the following licenses on a state...  ...Keywords: licensed mental health therapist, online therapy, private practice, psychotherapy,...