Asset Manager

Compliance Officer, New York, NY

Compliance Officer (New York, NY): Our client an asset manager with over $25 billion AUM is seeking motivated compliance professional to join their team. This person will work closely with the Chief Compliance Officer and other members of the compliance team. This is an exciting opportunity to join a firm that is well established and still growing! The firm is team oriented, fast paced, and will allow this new hire to continue to develop professionally.


Key Points:

  • Newly created position due to the overall growth in assets and complexity of the business
  • Organization prides itself on excellence – this new hire will be surrounded by intelligent, like-minded individuals with a collaborative attitude towards work
  • Individual will have an impact on the continued success of the business due to the nature of stepping into a newly created role


  • Review regulatory developments and implement procedures to ensure the program is in line with all applicable rules and regulations
  • Draft policies and procedures, design new compliance initiatives as it relates to the ever-changing business
  • Prepare and respond to regulatory inquiries; Review marketing materials; Assist with regulatory reporting (Form ADV, PF, 13F, 13G)
  • Assist with compliance testing and mock audits; Prepare regulatory reports and testing documentation
  • Identify, escalate and manage conflictsof interests through various regional and global teams


  • 5 – 8 years of relevant regulatory and/or compliance experience from a private fund; bachelors degree, JDs preferred but not required
  • Experience working with illiquid strategies preferred
  • Experience with regulatory requirements with a proven track record of delivering initiatives and guidance; excellent written and verbal communication skills
  • Comfortable working in a collaborative team environment across all teams within the firm; strong organizational and time management skills 

Job Reference #1532

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