Compliance Officer

New York, NY

Job Reference #1807

Our client, a growing investment manager with over $1B AUM, is seeking a motivated and responsible Compliance Officer to join their team. This position will work with the Chief Compliance Officer and Chief Financial Officer.

Key Points

  • Newly created position to own the compliance program of a successful fund that has consistently outperformed their indices
  • Opportunity to work in a lean, collaborative firm of under 20 employees in a highly visible role
  • Individual will be given the chance to take over the CCO seat in time

Responsibilities

  • Revise and maintain the firm’s compliance policies and procedures
  • Prepare the firm to be “SEC ready”
  • Conduct compliance testing and supervise employee compliance policy training
  • Maintain the firm’s compliance software and collaborate with outside compliance consultants
  • Remain current on industry trends and adjust the compliance program as needed.

Qualifications

  • 5-7 years of relevant regulatory compliance experience ideally out of a fund or compliance consultant
  • All-stars with 3-4 years of experience will also be considered
  • Experience with compliance software systems is a plus
  • Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects
  • Motivated, self-driven and proactive