Saratoga Springs, New York23 days ago
The Compliance Officer will work closely with the firm’s marketing, business development, and investments teams, as well as senior compliance leadership, to ensure that all communications and marketing activities comply with SEC Rule 206(4)-1 (the Marketing Rule) and other applicable requirements under the Investment Advisers Act of 1940. Given the firm’s size, continued growth through acquisitions, and active presence across multiple channels and affiliated entities, this role requires strong regulatory knowledge, sound judgment, and the ability to provide clear, practical guidance in a dynamic environment.