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:
Qualifications:
Compensation: $250K–$275K base + cash bonus (up to 350k all-in) + equity (depending on experience)
Available right away (aka within 2 weeks). Start date: Project will start as soon as we identify the right candidate. Duration: 3-6 months to start as they have an urgent need to get through the delivery of their program by end of year. Experience: 5+ years of...
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