New York City | $175,000-$200,000 Base + Bonus
We are partnering with a leading global investment management firm to appoint an experienced Compliance Officer to its New York Legal & Compliance team.
This is a broad, high-exposure opportunity for an established compliance professional looking to operate within a sophisticated investment environment. The role will work across compliance testing, regulatory projects, investment adviser compliance, third-party oversight, training and reporting, while partnering closely with Legal, Operations, Technology and investment-facing teams.
The successful candidate will gain meaningful exposure to the firm's trading activities and regulatory framework, while taking ownership of key areas of the compliance program.
Key Responsibilities
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Lead and execute compliance testing, including interpreting regulatory requirements, designing testing plans, conducting reviews and documenting findings and recommendations.
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Conduct investment adviser regulatory analysis, assessing regulatory developments, policy changes and new business initiatives.
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Support and lead broader regulatory and compliance projects across the organization.
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Oversee and monitor third-party service providers against regulatory and contractual requirements.
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Prepare compliance metrics, reporting and presentations for senior stakeholders.
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Develop and deliver compliance training and materials across the business.
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Partner closely with Legal, Compliance, Operations, Technology and front-office teams.
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Identify opportunities to strengthen and streamline compliance processes through the effective use of data and technology.
What We're Looking For
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7-10+ years of relevant experience within Compliance, Audit, Legal, Risk, Controls or a closely related function.
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Strong preference for candidates with experience within financial services, investment management, asset management, hedge funds or an investment adviser environment.
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Strong knowledge of regulatory requirements and the ability to translate regulation into practical testing, controls and processes.
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Experience independently managing compliance testing, regulatory reviews or significant compliance workstreams.
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Strong analytical capabilities and confidence working with data, metrics and technology.
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Excellent written and verbal communication skills, including the ability to prepare and present materials to senior stakeholders.
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Ability to manage multiple priorities and coordinate effectively across different business functions.
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Strong judgment, attention to detail and discretion.
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A proactive and intellectually curious approach, with the ability to identify problems and take ownership of solutions.
Compensation
Base Salary: $175,000-$200,000
The position also offers year-end variable compensation alongside a comprehensive benefits package.
Why Consider This Opportunity?
This is an opportunity to join a highly regarded global investment platform and work within a sophisticated, collaborative compliance environment.
The position provides a combination of regulatory analysis, compliance testing, trading exposure, data-driven work and cross-functional problem solving, making it particularly attractive to someone looking for a broader remit than a traditional compliance monitoring role.
You'll have visibility across the organization, exposure to senior stakeholders and the opportunity to take meaningful ownership of key areas of the firm's compliance program.
