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compliance google workspace broker-dealer ria regulatory compliance📋 Description
- Assist in drafting, reviewing, and managing contracts and legal documents
- Maintain contract databases and ensure proper documentation
- Support senior legal counsel on corporate and regulatory matters
- Monitor compliance with applicable laws, regulations, and internal policies
- Track regulatory changes and assess their impact on the business
- Help ensure internal controls and risk management processes
🎯 Requirements
- 5–8 years in legal/compliance in the RIA space (BD a plus)
- Familiar with SEC regulatory portals and reporting
- Bachelor's degree in Law or related field
- Ability to handle confidential information with discretion
- Proficiency in Google Workspace and compliance tools
- Nice to Have: Broker-Dealer exp; Fintech/SaaS; Series 65/7 certs
🎁 Benefits
- Competitive salary and equity package
- Unlimited PTO plus paid holidays
- Medical, dental, and vision plans
- 401(k), Commuter, and HSA/FSA
- NYC office in Manhattan
- Lunch and snacks in the office
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