Investment Manager

Compliance Officer - Research & Data, New York, NY

Compliance Officer – Research & Data (New York, NY): Our client, an established investment manager with over $25B in AUM, is seeking a motivated and detail-oriented compliance professional with a focus on research compliance to join their team. This new hire will be assessing a range of investment research and alternative data providers as it relates to distinct policies and procedures, with a goal geared towards ensuring best practices within regulatory compliance.  While this expertise is required for the role, this new hire will be given a ton of exposure to the full scope of the firm’s compliance program.  The firm is growing steadily in terms of assets and the organization promotes a culture of idea generation, automation, and being open.   


Key Points:

  • Newly created position offering an individual to make their mark within the organization by establishing themselves in a unique manner
  • Opportunity for an individual with a research compliance focus to capitalize off of this experience and leverage it into a role that will allow him/her to gain more generalist experience 
  • Firm encourages new and innovative ideas, promoting a dynamic and entrepreneurial environment
  • Exposure to compliance generalist responsibilities, with evolving compliance demands
  • Excellent benefits, qualityof life, and workplace environment


  • Perform ongoing compliance due diligence on investment research and alternative data providers; prepare MIS reporting on alternative data and investment research providers for senior management
  • Improve vendor management policies and procedures, keeping abreast with changes in the evolving regulatory developments; stay up to date with rulemaking and guidance, specifically with respect to alternative data and investment research providers
  • Coordinate with both external providers and key stakeholders within the business, to balance the commercial needs and regulatory best practices; create appropriate documentation and reports in response to inquiries and audits from regulatory authorities
  • Manage legal and compliance workflow as it relates to alternative data and investment research providers, ensuring timely responses to the business’s requests; participate in the broad sweep of compliance surveillance and monitoring functions, overseeing all areas of the business


  • 2 – 4 years of relevant compliance experience within data and investment research; excellent academic pedigree
  • Demonstrated collaborative and constructive interaction with key stakeholders outside of compliance, specifically with data procurement, data engineering and the quantitative investment teams; clear presentation, concise writing and articulate conversation skills are paramount
  • Comfortable taking on a wide variety of responsibility, while working independently and as part of a cross-functional team; must possess a keen sense of prioritization while being diligent, curious, thorough and logical with a commitment to follow through
  • An appreciation for the role of alternative data and research to the investment processes; this person should have a commercial instinct, sound judgement, discretion and a willingness to express a point of view

Job Reference #1609

facebook twitter linkedin

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