Hedge Fund

Compliance Officer, New York, NY

Compliance Officer (New York, NY): Our client, a global hedge fund with north of $4B in AUM, is looking to bring on a compliance professional to join their team in NYC. This new hire will report to the General Counsel/Chief Compliance Officer, while working closely with the firm’s global legal and compliance group comprised of five others. 


Key Points:

  • Opportunity to work with one of our favorite GC/CCOs who will be an excellent mentor to this individual and offer them new responsibilities as they prove themselves
  • Organization was a large, successful launch and has continued to raise assets and has an international presence 
  • True generalist role offering this new hire an opportunity to learn everything about the compliance program


  • Assist with annual compliance reviews, conduct compliance testing and trade surveillance; prepare for regulatory inquiries and audits
  • Manage and track employee personal trading, gifts & entertainment request and political contributions; prepare a variety of regulatory filings (Form PF, 13F, 13H, CPO-PQR, AIFMD Annex IV)
  • Assist with reviewing investor relations and marketing materials; provide support with the management of pre-trade compliance rules and respond to trade-related compliance matters
  • Assist and conduct compliance training programs and update policies and procedures; manage other ad-hoc compliance duties as necessary


  • 8-12 years of relevant compliance experience within the asset management space including at least 2 years of hedge fund or other buy-side firm experience; bachelors degree required, JD is preferred
  • Experience preparing and submitting primary U.S. regulatory filings; proactive, approachable with the ability to operate effectively with little supervision
  • Must be comfortable working in a fast-pace environment with strong attention to detail; excellent communication skills as this role offers exposure to all levels of seniority 
  • Strong regulatory researching skills; must have an interest in implementing and improving the firm’s compliance program 

Job Reference #1428

facebook twitter linkedin

Designed by Tradical360, an SEO Company in New York, NY