Senior Compliance Officer

New York, NY

Job Reference #1885

Our client, a leading alternative investment firm with over 30b in AUM is looking to hire a Senior Compliance Officer to support its limited purpose broker dealer, along with the registered investment adviser.   This is an opportunity to take over as the internal CCO of the broker dealer (15-25% of the work) and touch on all aspects of the RIA compliance program.

Key Points

  • Opportunity for this hire to take over as CCO of the limited purpose broker dealer, but also expand and touch on all areas of the RIA
  • Firm is adding this position due to their continued growth and they expect to offer this hire more responsibility in the future
  • The company has been around for over 15 years and has a very stable investor base  
  • They put a large emphasis on culture and hiring for the long term
  • Work from home policy: 4 days in the office and 1 day from home
  • Compensation: 130-160k base + bonus (200-250k all in), depending on experience


  • Administration of the broker dealer compliance program alongside the broader RIA compliance infrastructure
  • Drafting and maintaining the firm’s written supervisory procedures and any other policies or desktop procedures as needed
  • Maintaining a FINRA-compliant program, including maintaining a compliance calendar, conducting and documenting annual reviews and office inspections, ensuring proper and timely regulatory filings, overseeing existing registrations, spearheading new hire registrations, facilitating and conducting compliance trainings as needed, and ensuring completeness of all licensing requirements
  • The transfer of all broker dealer compliance responsibilities from the existing outsourced CCO to being the internal CCO
  • Participating in the daily implementation, monitoring, follow-ups, and escalation of the firm’s Code of Ethics framework through ComplySci, including with respect to personal trading matters, gifts and entertainment, political contributions, outside business activities, conflict disclosure matters, and others
  • Assisting deal teams and Legal with AML/KYC reviews and workflows with respect to investor onboarding and deal transactions, including liaising with service providers and counterparties as needed


  • At least 3 years of relevant experience required, preferably within the asset management industry
  • Working knowledge or experience with FINRA rules and the IARD/CRD systems
  • Possess, or be willing to obtain in short order, Series 7 and Series 24 licenses

Compensation: $130-$160k base + bonus ($200-$250k all in)