Compliance Officer

New York, NY

Job Reference #1878

Our client, a successful, global investment manager with over $40B in assets, is seeking a highly motivated Compliance Officer to join their team in a highly visible and unique position.  This new hire will help mentor and train a staff of four while working closely with three senior compliance professionals across the entire program.

Key Points

  • Firm is established, actively growing, expanding their investment strategies and deploying capital
  • Firm emphasizes a strong teamwork environment with tons of collaboration between departments and within the compliance team
  • Opportunity to sit between senior and junior compliance professionals playing an integral part of the team


  • Remain current on industry trends and adjust the compliance program as needed
  • Revise and maintain the firm’s compliance policies and procedures
  • Ready the firm for SEC audit and other regular testing and reporting requirements
  • Supervise firm-wide employee compliance training
  • Review marketing materials
  • Prepare regulatory filings, regulatory reports, and testing documentation
  • Contribute to the transactional and counterparty KYC process


  • Bachelor’s degree and at least 6 years of relevant compliance experience; MBA or JD optional
  • Ability to communicate and work with all levels within the firm
  • Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects
  • Motivated, self-driven and proactive with an entrepreneurial mindset

Compensation: $150-$225K base; up to $350K all-in (dependent on experience)