Investment Firm

Assistant General Counsel & Compliance Officer, New York, NY

AGC & Compliance Officer (New York, NY): Our client, a leading investment firm with over $17B in AUM specializing in the credit markets, is seeking an eager and motivated compliance professional to join their growing team.  This person will be reporting to the Chief Compliance Officer and Counsel.


Key Points: 

  • Individual will be positioned for tremendous mentorship and professional development
  • Organization is extremely successful and stable  
  • Team is flat allowing exposure to all areas of the compliance program
  • Firm hires top talent with great attitudes so this new hire will be surrounded by intelligent, humble, and resourceful coworkers


  • Advise Portfolio Managers and Traders on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulation and client mandates; assist in the compliance monitoring and testing program
  • Assist in on-boarding new hires and maintain training logs; review firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
  • Review client and account documentation for anti-money laundering compliance; assist the Compliance Director with regulatory filings such as Form ADV 1, 2a, 2b and Form PF
  • Assist with implementing new compliance procedures, while developing policies and systems for firm-wide administration of compliance issues  


  • Top educational credentials with a law degree
  • 5-8 years of related legal and/or compliance experience from either a direct hedge fund, compliance consulting firm, law firm or other investment manager
  • Ability to exercise risk-appropriate judgement; must be confident and comfortable speaking with various upper members in upper management

Job Reference #1475

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