Investment Manager

Senior Compliance Officer , New York, NY

Senior Compliance Officer with direct path to Deputy CCO (New York, NY): One of the most reputable investment managers in NYC, with assets north of $25B, has created a deeply important role to work in a true #2 capacity supporting their CCO/AGC.  The role has been created to support the firm’s growth and increasing complexity.  The Senior Compliance Officer will join a strong regulatory compliance team with comprehensive coverage of the program. 


Key Points:

  • True #2 position reporting into a CCO/AGC who takes a sincere interest in the development and support of their employees
  • Opportunity to step into a newly created role with a path for career development, professional growth, and visibility throughout the firm
  • Organization has a phenomenal reputation and hires bright, motivated individual so this new hire will be surrounded by intelligent colleagues


  • Mentor and manage the compliance team and work with the CCO to manage the compliance program
  • Design, lead, and complete multi-disciplinary projects for the firm
  • Oversee and collaborate with a team of generalists who are responsible for a regulatory compliance program inclusive of: regulatory filings, MNPI management, marketing material review, portfolio compliance, Code of Ethics oversight, AML, information security and compliance testing
  • Manage the negotiation of ISDAs, prime brokerage agreements, repo agreements, vendor contracts, and NDAs
  • Provide guidance to senior internal clients regarding regulatory issues and inquiries


  • 7+ years of relevant investment advisory compliance experience (10+ years of total work experience)
  • Deep expertise and excellent judgement across compliance areas
  • Strong ability to synthesize facts, spot issues, interpret and apply legal and regulatory rules
  • Top tier education (JD strongly preferred)
  • Team oriented attitude with demonstrated leadership skills including effective public speaking skills

 Job Reference #1432

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