Associate, Compliance

About Willow Wealth

Willow Wealth is a leading private markets investment platform. We believe that private markets investment products should be a fundamental part of your portfolio. That’s why we’re expanding access to make it easier to get started. We partner with experienced investment managers to provide investors with a wide range of opportunities across real estate, venture capital, private equity, art, short-term notes, and more. All of our offerings are curated and vetted by our team to help investors diversify away from the stock market.

About the Role

Willow Wealth is looking for a Compliance Associate to work with and report to the Chief Compliance Officer. In this role, you will assist with the oversight of an SEC-registered investment adviser, with a related FINRA Broker-Dealer. You will also have an opportunity to help develop, implement and drive effective and efficient Compliance processes, while partnering cross-functionally across Willow Wealth. In addition to providing support as it relates to the regulatory obligations of our business partners, you will continue to build compliance expertise by developing and delivering training and communications on compliance policies and procedures. The ideal candidate will have a strong work ethic, good judgment, critical thinking skills, and the ability to communicate effectively.

Key Responsibilities

• Review and approve marketing collateral and communications with the public to ensure all marketing materials are in compliance with SEC’s Marketing Rule and FINRA Rule 2210
• Assist with implementing and monitoring adherence to the firm’s Code of Ethics and related procedures
• Manage quarterly and annual certification processes for access persons and registered personnel
• Track and monitor outside business activities, securities accounts, restricted trading list, gifts and entertainment, and political contribution pre-clearance requests
• Assist with managing the firm’s regulatory filing obligations, including the annual ADV update, Form PF, and Form D filings
• Assist the broker-dealer personnel in managing the licensing process, including the Broker-Dealer’s Firm Gateway and CRD filings (e.g. Form U4s, Form U5s, Form BD, and Form BR)
• Help develop and deliver training and communications on compliance policies and procedures
• Assist in maintaining all required books, records, manuals and correspondence, and managing any regulatory inquiries and exams

Qualifications

• 4-6 years experience as a compliance professional at a registered investment adviser to private funds and/or registered funds or a FINRA registered broker-dealer
• Experience reviewing marketing collateral for compliance with the Marketing Rule of the Advisers Act
• Comfortable with ambiguity and capable of solving complex problems independently in a fast-paced environment
• Demonstrated success at partnering, prioritizing, and balancing needs cross-functionally
• Excellent writing, communication, project management, and organizational skills

Preferred Qualifications

• Familiarity with both the Advisers Act and with FINRA rules and regulations and the Investment Company Act
• Series 7 and Series 24 Licenses (or a willingness to obtain licenses)
• Experience with regulatory exams or responding to regulatory inquiries
• Familiarity with Bank Secrecy Act and anti-money laundering obligations
• ACA ComplianceAlpha experience

What’s in it for you 

Competitive compensation package, including equity 

Health, dental & vision coverage with FSA/HSA options 

Unlimited PTO 

401k match 

Commuter benefit 

Life insurance

Wellness stipend

This is a New York-based role. The base salary range for this position is USD 90,000 to 120,000 annually, depending on experience and qualifications. This role is eligible for equity compensation as part of the total compensation package.