Investment Advisory Director

4 days ago


New York, New York, United States Tandym Group Full time

Tandym Group is seeking an experienced professional to fill the role of Investment Advisory Associate Director. This position requires a strong understanding of the Investment Advisors Act of 1940 and the ability to work closely with clients on compliance matters. The ideal candidate will have a bachelor's degree in a related field and 3-5 years of direct RIA experience. Key responsibilities include establishing and maintaining a compliance program, drafting Form ADV amendments, and participating in SEC mock exams. The successful candidate will also be responsible for creating RIA and client relationships through networking and performing other duties as needed. If you have a solid understanding of regulatory requirements and excellent communication skills, we encourage you to apply for this exciting opportunity.



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