Lead client compliance engagements: maintain Code of Ethics, perform annual compliance and AML reviews, manage electronic communications surveillance, prepare regulatory filings (Form ADV, 13 filings, Form PF, Form PQR), handle SEC/CFTC/SRO examination responses, complete RIA/BD registration projects, and deliver compliance training. Travel may be required.

The Senior Associate will support compliance programs, conduct reviews, manage documentation, and assist in regulatory preparations within a team environment.