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About the Role

GGHC is seeking a detail-oriented, proactive Compliance Associate to join its compliance team. This role will support the firm’s compliance efforts by ensuring adherence to applicable laws, regulations, and internal policies and procedures. The Associate will assist with employee activity monitoring, regulatory filings, audits and inquiries, policy maintenance, compliance training, and other core compliance functions.

Responsibilities

Administer the firm’s Code of Ethics program, including oversight of annual employee attestations and certification processes.
Conduct routine monitoring, trade reviews, and escalation processes for personal securities transactions, Outside Business Activities (OBAs), Private Securities Transactions (PSTs), and Gifts & Entertainment.
Support the implementation, maintenance, and enhancement of employee compliance policies.
Execute periodic testing under the firm’s supervisory control programs.
Perform routine surveillance on discretionary account trading and commission structures, best execution, and trade allocation policies.
Support daily compliance workflows, trade monitoring alerts, and operational department initiatives.
Assist with updating the RIA Compliance Manual, Written Supervisory Procedures (WSPs), and desktop procedures.
Prepare, update, and file key regulatory disclosure documents, including Form ADV (Parts 1 & 2), Form BD, and Form CRS.
Monitor SEC and FINRA regulatory developments and analyze their operational impact.
Coordinate and deliver compliance training for registered and unregistered personnel.
Assist in preparing for regulatory examinations, managing document requests, and executing firm-wide compliance projects.
Provide support for ad hoc compliance initiatives and cross-functional firm projects.

Requirements

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.
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.

Skills

Trade monitoring
Compliance platforms
Analytics
Drafting
Communication

Location

Hudson Yards, Manhattan

Work Type

Full-time

Experience Level

3-5 years

Salary/Compensations

$130,000 - $150,000

About the Company

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.
Clients are individuals who reach the firm by referral and give a portion of their capital to be invested aggressively.
The firm seeks to grow clients' capital through active research and trading of securities in their separately managed accounts.
The team consists of approximately 90 employees based on the west side of Manhattan in Hudson Yards.
The firm is united by its belief in growth investing for the long term.
Each money manager is responsible for their own investment decisions, aided by analyst colleagues, allocators, and traders.
The firm’s service to clients is supported by a focused group of individuals working within operations, systems, development, finance, human resources, and compliance.