Compliance Officer

New York, NY

Job Reference #1869

Our client a successful investment advisory firm with over $15B in AUM, is eager to bring on an eager and motivated compliance professional to join their legal and compliance team. The candidate of choice will be joining a team of bright, high performing individuals, reporting to the Chief Administrative Officer and Head of Legal.  The team has an in-office culture and fosters team building and development through staff events.

Key Points

  • Firm is huge on promoting from within
  • People are described as “truly amazing” and “SO nice” and the organization as a whole views compliance as a resource
  • Excellent culture of compliance; the hiring manager noted “it is a dream to work in a compliance group with employees who are very aware and kind”
  • Firm has interesting and growing investment strategies
  • People respect your time away from the office; they have an excellent work/life balance


  • Assist with day-to-day compliance matters, managing the firm’s personal trading, gifts and entertainment, outside business activities and political contributions policies; assist with forensic testing of various compliance policies and procedures
  • Administer a variety of compliance questionnaires and certifications, liaising with employees to respond to questions; review marketing materials to ensure the accuracy of necessary disclosure
  • Monitor daily portfolio compliance tests and liaise with portfolio management teams; respond to requests for information and/or documents from other teams within the firm (including AML/KYC requests)
  • Maintain conflicts of interest log, restricted/watch lists, and the firm’s compliance calendar; assist with new hire compliance onboarding and offboarding when necessary
  • Provide support with drafting employment agreements and related documents, including immigration matters; assist with special projects as needed


  • At least 2 years of relevant experience either in compliance out of another asset manager, or as a paralegal out of a top-tier law firm (both would be advantageous);  bachelors degree 
  • Exceptional attention to detail, organizational and communication skills; experience with supporting and assisting a team in a fast-paced and deadline-driven environment
  • Ability and eagerness to develop a strong sense of institutional knowledge and expertise about the firm and its products to endure all tasks; must show an interest in embodying the firm’s core values of focus, humility and kindness

Compensation: $90-$120K base plus bonus