Multi-Strategy Investment Firm

Compliance Officer, New York, NY

Compliance Officer (New York, NY): Our client, a multi-strategy investment firm with north of $10b in AUM, is looking to bring on a compliance professional to join their growing team.


Key Points:

  • Firm has a tremendous reputation and has almost doubled AUM and headcount over the past couple of years 
  • Organization offers a variety of investment products exposing this person to multiple fund types and investment products 
  • CCO believes in collaboration with the business and cross training all team members to become strong generalists 
  • Strong benefitsincluding breakfast, lunch, a gym on site, free personal training and yoga 


  • Conduct compliance training to new hires to ensure that all Compliance onboarding requirements are completed; review sources of research from experts and independent providers
  • Oversee calls between research providers and investment staff; approve and onboard research providers
  • Assist with forensic testingalong with other related compliance surveillance; provide administrative support to the legal and compliance team


  • 2-4 years of compliance experience within a registered investment advisory firm or a research desk on the banking side of the business; bachelors degree 
  • Experience analyzing potential information sources and research processes used for regulatory purposes; team player with the ability to communicate and work effectively across different departments and senior management
  • Strong organizational and researching skills; exceptional attention to detail and ability to excel in a high intensity environment

Job Reference #1418


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