Investment Manager

Compliance Officer & Compliance Counsel, New York, NY

Compliance Officer & Compliance Counsel (New York, NY): Our client, an established investment manager with over $25B in AUM, is seeking a bright and experienced legal professional to join their compliance team. This new hire will be supporting the general functions and global business within legal and compliance and working in the #2 capacity within the US compliance team.  The firm is growing steadily in terms of assets and the sky is the limit in terms of what this individual can take on internally.  The organization promotes a culture of idea generation, automation, and being open.   


Key Points:

  • Individual will sit in the #2 seat within compliance in the firm’s US office
  • Excellent benefits, quality of life, and work place environment
  • Firm encouragesnew and innovative ideas, promoting a dynamic and entrepreneurial environment


  • Provide counsel on regulatory matters as it relates to the SEC and NFA registered asset management business (trading and investments across asset classes)
  • Collaborate with the compliance team to prepare regulatory filings, review marketing materials, provide trade surveillance, email review, and vendor review
  • Manage and advise on policies and procedures; assist with the firm’s annual compliance review and perform forensic testing 
  • Draft policies and conduct employee compliance training 
  • Assist with new compliance initiatives and associated implementation projects  
  • Negotiate relevant legal documents, including NDAs, vendor, research and trading agreements 


  • At least 3 years of relevant experience preferably from an asset manager, SEC or private practice at a reputable law firm; JD required with a strong academic background
  • Knowledge of regulatory regime relating to asset management (NFA, SEC and CFTC rules); experience with both equity and non-equity classes is preferred
  • Excellent written and verbal communication skills as the role requires collaborative and constructive interaction with all areas of the firm such as senior management, traders, portfolio and risk managers, and technologists 
  • Sound judgement, discretion with the ability to work independently; this person should have an analytical approach, being diligent and thorough with a commitment to follow through 
  • Must have an appreciationfor technology; knowledge of a range of asset classes and instruments

 Job Reference #1608

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