AVP, Compliance: Risk & Regulatory Programs

Social Capital Resources; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Social Capital Resources is seeking an experienced Compliance Officer to support the administration and implementation of regulatory compliance programs for a leading asset management organization in New York City. The role involves conducting testing, monitoring, risk assessments, reviewing policies and procedures, investigating issues, and supporting audits and board reporting.

You will partner with senior leadership to ensure alignment with FINRA, CFTC, FCA, and related rules.

Qualifications

• Bachelor’s degree required with 4–6 years of compliance experience.
• Strong knowledge of the Investment Advisers Act and Investment Company Act.
• Familiar with FINRA, CFTC, FCA, and related regulatory requirements.
• Series 7 and 24 preferred.
• Excellent written and verbal communication, organization, and project management skills.

Responsibilities

• Conduct compliance testing, monitoring, and risk assessments
• Review and enhance policies, procedures, and compliance manuals
• Investigate and document compliance issues and regulatory matters
• Support regulatory filings, examinations, audits, and board reporting
• Conduct third-party and intermediary due diligence
• Assist with personal trading and employee communications reviews
• Partner with business teams and senior leadership on regulatory requirements

Skills

Compliance testing

Risk assessments

Policy review

Due diligence

Regulatory filings

Audits

Board reporting

Personal trading reviews

Education

Bachelor's degree

Job description

Social Capital Resources is seeking an experienced Compliance Officer to support the administration and implementation of regulatory compliance programs for a leading asset management organization in New York City. The role involves conducting testing, monitoring, risk assessments, reviewing policies and procedures, investigating issues, and supporting audits and board reporting.

You will partner with senior leadership to ensure alignment with FINRA, CFTC, FCA, and related rules.