Compliance Officer

About the role

We are partnering with a leading global investment management firm to appoint an experienced Compliance Officer to its New York Legal & Compliance team.

This is a broad, high-exposure opportunity for an established compliance professional looking to operate within a sophisticated investment environment. The role will work across compliance testing, regulatory projects, investment adviser compliance, third-party oversight, training and reporting, while partnering closely with Legal, Operations, Technology and investment-facing teams.

The successful candidate will gain meaningful exposure to the firm's trading activities and regulatory framework, while taking ownership of key areas of the compliance program.

Responsibilities

• Lead and execute compliance testing, including interpreting regulatory requirements, designing testing plans, conducting reviews and documenting findings and recommendations.
• Conduct investment adviser regulatory analysis, assessing regulatory developments, policy changes and new business initiatives.
• Support and lead broader regulatory and compliance projects across the organization.
• Oversee and monitor third-party service providers against regulatory and contractual requirements.
• Prepare compliance metrics, reporting and presentations for senior stakeholders.
• Develop and deliver compliance training and materials across the business.
• Partner closely with Legal, Compliance, Operations, Technology and front-office teams.
• Identify opportunities to strengthen and streamline compliance processes through the effective use of data and technology.

Requirements

• 7-10+ years of relevant experience within Compliance, Audit, Legal, Risk, Controls or a closely related function.
• Strong preference for candidates with experience within financial services, investment management, asset management, hedge funds or an investment adviser environment.
• Strong knowledge of regulatory requirements and the ability to translate regulation into practical testing, controls and processes.
• Experience independently managing compliance testing, regulatory reviews or significant compliance workstreams.
• Strong analytical capabilities and confidence working with data, metrics and technology.
• Excellent written and verbal communication skills, including the ability to prepare and present materials to senior stakeholders.
• Ability to manage multiple priorities and coordinate effectively across different business functions.
• Strong judgment, attention to detail and discretion.
• A proactive and intellectually curious approach, with the ability to identify problems and take ownership of solutions.

Benefits

The role includes a comprehensive benefits package.

Pay

Base Salary: $175,000-$200,000, plus year-end variable compensation.