Compliance Officer

New York, NY

Job Reference #1905

Our client, an established investment management firm with diverse product offerings and over $75B in AUM, is hiring a Compliance Officer to be part of their Global Risk, Regulatory, and Compliance Department overseeing the NYC office and US compliance program. This is a highly visible role within the organization working closely with business professionals in the NYC office.

Key points: 

  • Opportunity to join an organization with a long history of steady investment performance spanning various regions, industries, and strategies
  • Interaction with a dynamic team of extremely bright compliance professionals from all levels of the firm
  • Ability to own, augment, and play a critical role in the firm’s US compliance department
  • Firm doesn’t have a formal in-office policy as they have a ton of flexibility; the expectation is that this person will be in the office 3-4 days/week


  • Support in delivering various compliance training for the firm, overseeing compliance training systems, and completing obligatory regulatory filings, including Form ADV, PF, and lobbyist filings as necessary
  • Conduct compliance testing and monitoring, and contribute to the implementation of new regulatory requirements
  • Oversee the ComplySci system for personal trading activities, along with other Code of Ethics prior approval and reporting obligations
  • Facilitate OFAC/KYC assessments at the Private Fund level and on a transactional basis, and prepare an OFAC Risk Assessment for Senior-level review


  • 5-8 years of related legal and compliance expertise in an investment management/funds division at a law firm or within an investment advisory company; a bachelor’s degree is required
  • Expertise with the Investment Advisers Act is necessary
  • Exceptional interpersonal, communication, and writing abilities
  • Proficiency in working independently, meeting deadlines, and being proactive in embracing new ventures; robust analytical and organizational proficiencies

Compensation: $200-250K base; $250-335K all-in