• Direct Hire
  • Full Time
  • Albany, NY

Our client is currently seeking a Compliance Officer who is responsible  for assisting with all activities related to compliance. This is a full-time, permanent position with benefits.

Responsibilities Include:

  • Aid in review and maintenance of compliance procedures, documentation and regulatory filings.
  • Evaluate advertising and marketing efforts as well as money movement transactions.
  • Ensure compliance with guides and regulations and initiate appropriate  policy changes.
  • Maintain contact with third-party vendors such as fund administrators, insurance, and custody service providers.
  • Supervise annual compliance meetings and trainings.


  • Bachelor’s Degree in Finance or related field is required.
  • 2+ year(s) experience in similar compliance role in a financial firm is required.
  • Series 65 or combination of Series 7 and 66 is preferred.
  • Proficient in Microsoft Office Suite, especially Excel and PowerPoint.
  • Excellent written and verbal communication skills.


If you are qualified for this position, please apply using our secure online form

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