Artivest is seeking a Director of Compliance to ensure the company maintains a robust compliance program that adheres to all applicable laws, rules and regulations while executing its mission of bringing exceptional investment opportunities to a wider audience. Working closely with the executive management team, investor relations, and central support functions and reporting directly to the General Counsel and Chief Compliance Officer, you will be responsible for all compliance matters for Artivest and its affiliates, which include an investment adviser, a registered broker-dealer and a commodity pool operator. You will also assist with brokerage and investment advisory operations as needed.

As a fast-growing team of best-in-class financial and technology professionals, NYC-based Artivest provides investors and their advisors access to a vetted selection of private equity and hedge funds at lower minimums.

Who You Are

  • Ability to identify and analyze regulatory, compliance, and business issues proactively in a fast-paced and rapidly changing business and regulatory environment
  • Expert in compliance regimes that regulate alternative investing, including private equity and hedge funds
  • Entrepreneurial and highly motivated
  • Excellent written, communication and interpersonal skills
  • Organized, detail-oriented, extremely thorough, and able to multitask
  • Interested in technology

What You’ve Done

  • Series 7, 66 (or 63) and 24 required
  • Minimum of 5-7 years experience in a compliance function in a brokerage and investment advisory organization, preferably within wealth management at a financial services organization or independent hybrid broker-dealer/RIA
  • Experience with retail sales practices for private fund products, including private equity and hedge fund interests, to qualified purchasers and accredited investors
  • Familiarity with broker-dealer and registered investment adviser compliance and operations
  • Familiarity with the Investment Advisers Act of 1940, the Investment Company Act of 1940 and the JOBS Act
  • Prior management experience
  • Familiarity with CPO compliance and Series 3 a plus
  • Experience with fund operations
  • JD a plus

What You’ll Do

  • Oversee all compliance matters for Artivest and its affiliates
  • Serve as Compliance Officer and AML Compliance Officer for Artivest’s investment adviser, broker-dealer and commodity pool operator
  • Develop and administer robust compliance programs and proactively consider Artivest’s needs around data privacy, business continuity, anti-money laundering and know-your-client requirements as well as client-facing disclosures
  • Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure an effective business control framework
  • Serve as primary liaison with the SEC, FINRA, the NFA, and other relevant self-regulatory organizations
  • Manage regulatory reporting and firm and individual licensing and registration through the CRD and IARD systems
  • Review and approve all marketing materials, website updates and social media content in a timely fashion
  • Monitor electronic communications, including firm email and social media posts
  • Draft and supervise distributions of Artivest’s disclosures to clients, including Form ADV and data privacy policies
  • Serve as strategic advisor to the CEO, General Counsel and other senior officers
  • Track employees’ annual attestations and questionnaires
  • Develop Artivest’s regulatory training programs and track Regulatory Element and Firm Element continuing education requirements
  • Follow and analyze evolving regulations and work with senior management to adopt appropriate business strategies
  • Build and manage a team supporting compliance and operational work and foster a culture of compliance

At Artivest, you may feel overwhelmed and stretched. But, you will also find yourself working with a smart, fun, dedicated, and passionate team committed to building a powerful, industry-changing organization. This is a non-stop startup job. Don’t say we didn’t warn you.

About Artivest

Artivest connects a wider audience of suitable investors with investment opportunities in top-quality private equity and hedge funds that are typically available only at institutional minimum investment sizes.

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