Job Description:

Our client, a prominent securities based law firm and Management Consulting firm, is looking to hire a Compliance Officer to join their team.  The Compliance Officer will help to maintain and service current client relationships. The position will be assist Registered Investment Advisers (“RIA”s) on-going regulatory compliance obligations for a range of investment advisers including, but not limited to:

  • On-the-job training;
  • Heavy client contact, legal research and document drafting;
  • Leading RIAs and their representatives through the SEC and/or state registration process;
  • Completing required regulatory annual filings;
  • Creating and/or revising RIA disclosure documents, advisory agreements, and compliance documents;
  • Reviewing marketing materials;
  • Reviewing and/or drafting employment agreements;
  • Formation of legal entities; and/or
  • Travel during portions of the year


  • Full time employment
  • 1 – 2 years’ experience in the securities industry
  • Bachelor’s Degree and/or Paralegal Certificate from an ABA Certified program
  • Series 6, 7, 24, 66 or 65 helpful
  • Working knowledge of securities regulations and/or FINRA Rules preferred
  • Expertise in the Microsoft Office Suite
  • Strong attention to detail, responsiveness and ability to take initiative
  • Ability to prioritize and handle numerous competing demands in a high-volume, fast-paced work environment with frequent urgent deadlines
  • Ability to work independently or as a team member, and manage projects and time efficiently
  • Should possess a professional manner and judgment to enable a good working relationship with clients and co-workers
  • Excellent communication, organizational and interpersonal skills


  • Dental & vision
  • 401(k) Plan with employer contribution
  • Defined Benefit Plan
  • Paid parking
  • Other benefits

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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