New York, New York, United States · On-site
$130k–$150k/yr
About the Firm: Founded in 1968, Gilder Gagnon Howe & Co., LLC ("GGHC") is a registered investment adviser and broker-dealer giving individuals who possess long-term patience and fortitude an opportunity to create wealth…
Skills: Compliance Monitoring, Regulatory Filing, Trade Surveillance, Risk Management, Policy Drafting
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The Compliance Associate supports the firm's adherence to laws and internal policies through employee activity monitoring and regulatory filing. Key duties include administering the Code of Ethics, conducting periodic testing, and assisting with regulatory audits.
Candidates need 3-5 years of compliance experience at an SEC-registered RIA or FINRA Broker-Dealer. Must be able to obtain FINRA SIE, Series 7, and Series 24 licenses within nine months of employment.
Founded in 1968, Gilder Gagnon Howe & Co., LLC ("GGHC") is a registered investment adviser and broker-dealer giving individuals who possess long-term patience and fortitude an opportunity to create wealth. Our clients are individuals who reach us by referral and give us a portion of their capital they wish to invest aggressively. We seek to grow our clients' capital through active research and trading of securities in their separately managed accounts.
Our team of approximately 90 employees is based on the west side of Manhattan in Hudson Yards. We are a firm united by our belief in growth investing for the long term. Each money manager is responsible for his or her own investment decisions. They are aided by analyst colleagues who scour the market for growth opportunities; allocators who help execute investment decisions and assist clients; and traders who connect us to the markets.The Firm’s service to clients is possible because of a focused group of individuals working within operations, systems, development, finance, human resources, and compliance.
GGHC is seeking a detail-oriented, proactive Compliance Associate to join its compliance team. The Compliance Associate will support the firm’s compliance efforts by helping ensure adherence to applicable laws, regulations, and internal policies and procedures. This role will assist with employee activity monitoring, support regulatory filings, audits and inquiries, policy and procedure maintenance, compliance training, and other core compliance functions.
Code of Ethics Administration: Assist in administering the firm’s Code of Ethics program (SEC Rule 204A-1 / FINRA rules), including oversight of annual employee attestations and certification processes.
Employee Activity Surveillance: Conduct routine monitoring, trade reviews, and escalation processes for personal securities transactions, Outside Business Activities (OBAs), Private Securities Transactions (PSTs), and Gifts & Entertainment.
Policy Enhancement: Support the implementation, maintenance, and ongoing enhancement of employee compliance policies to ensure full alignment with regulatory updates and firm standards.
Periodic Testing Program: Execute periodic testing under the firm’s SEC Rule 206(4)-7 and FINRA Rule 3120/3110 supervisory control programs.
Discretionary SMA Monitoring: Perform routine surveillance on discretionary account trading and commission structures, best execution, and trade allocation policies.
Daily Operations: Support daily compliance workflows, trade monitoring alerts, and operational department initiatives.
Manual Maintenance: Assist the Chief Compliance Officer (CCO) with implementing the core compliance program, updating the RIA Compliance Manual, Written Supervisory Procedures (WSPs), and desktop procedures as needed.
Regulatory Disclosures: Prepare, update, and file key regulatory disclosure documents, including Form ADV (Parts 1 & 2), Form BD, and Form CRS.
Regulatory Intelligence: Monitor SEC and FINRA regulatory developments, maintain current knowledge of industry changes, and analyze their operational impact on firm policies and procedures.
Training & CE Oversight: Coordinate and deliver compliance training for registered and unregistered personnel, including oversight of required Regulatory Element and Firm Element Continuing Education (CE) courses.
Audit & Exam Support: Assist the CCO in preparing for regulatory examinations (SEC, FINRA), managing document requests, and executing firm-wide compliance projects.
Special Projects: Provide active support for ad hoc compliance initiatives and cross-functional firm projects.
Required Skills and Qualifications:
Must successfully obtain the FINRA SIE, Series 7, and Series 24 licenses within the first nine (9) months of employment.
3-5 years of direct compliance experience at an SEC-registered RIA, FINRA Broker-Dealer or dual-registered firm.
Experience with trade monitoring and compliance platforms.
Strong analytics and drafting skills; ability to manage multiple regulatory deadlines in a fast-paced environment.
Strong verbal and written communication skills, with the ability to communicate complex compliance topics clearly and effectively.
Detail-oriented with the ability to manage multiple priorities, meet deadlines, and follow through on open items.
We are a registered broker dealer, and a registered investment advisor. Functioning as independent businessmen and women, we each have our own clients, but share a belief in growth investing for the long term. We each have different ways of analyzing companies and managing client accounts, but we work together to tap the group’s diversity of ideas and opinions. This multiplicity of opinion serves to test each idea from a variety of angles—both before and after a broker acts upon it. Although we share information, we often don’t invest in the same stocks or at the same time. In fact, we occasionally find ourselves on opposite sides of a security. While each broker is responsible for his or her own investment decisions, we are aided by our analyst colleagues who scour the market for growth opportunities; our account managers who help execute our investment programs and work with clients; and our traders who connect us to the markets. All brokers (and most employees at GGHC) invest their own money in the same companies as their clients. Successes and mistakes are felt by us all. There are times when clients’ accounts decline, and yet we continue to trade and charge commissions. Staying this painful course requires long-term thinking, trust, and patience.
Offices: 475 10th Avenue, 12th Floor, 12th Floor, New York, NY 10018, US
We are a registered broker dealer, and a registered investment advisor. Functioning as independent businessmen and women, we each have our own clients, but share a belief in growth investing for the long term. We each have different ways of analyzing companies and managing client accounts, but we work together to tap the group’s diversity of ideas and opinions. This multiplicity of opinion serves to test each idea from a variety of angles—both before and after a broker acts upon it. Although we share information, we often don’t invest in the same stocks or at the same time. In fact, we occasionally find ourselves on opposite sides of a security. While each broker is responsible for his or her own investment decisions, we are aided by our analyst colleagues who scour the market for growth opportunities; our account managers who help execute our investment programs and work with clients; and our traders who connect us to the markets. All brokers (and most employees at GGHC) invest their own money in the same companies as their clients. Successes and mistakes are felt by us all. There are times when clients’ accounts decline, and yet we continue to trade and charge commissions. Staying this painful course requires long-term thinking, trust, and patience.
Offices: 475 10th Avenue, 12th Floor, 12th Floor, New York, NY 10018, US
