Compliance Officer

Job Description

Compliance Officer (NYC)

Our client, an established alternative investment manager, is seeking an experienced Compliance Officer to join its New York team. This is a senior, broad-based position with responsibility across various aspects of the firm's U.S. compliance program. The individual will work closely with senior compliance leadership, investment professionals and other key stakeholders throughout the business. The role offers a combination of day-to-day compliance oversight, regulatory advisory work and longer-term projects, with an opportunity to take on additional responsibility as the business continues to evolve.

Highlights to consider:

• Senior position within the U.S. compliance team: This individual will serve as the number two compliance professional in the U.S., offering meaningful responsibility, visibility across the organization and regular interaction with senior leadership. It's a great opportunity for someone looking to take the next step in their career without necessarily needing to be the CCO today.
• Broad scope and meaningful responsibility: The position offers exposure to virtually all aspects of an investment manager's compliance program, including regulatory matters, trading and investment compliance, policies and procedures, testing, monitoring and employee compliance. This is not a narrowly focused role, and the individual will have an opportunity to make a meaningful impact.
• Established and successful investment platform: The firm has built a strong institutional business and continues to invest in its people and infrastructure. Compliance is an important part of the organization, and the team works closely with the investment side of the business.
• Opportunity to work directly with investment professionals: A significant component of the position involves working alongside investment and research teams, providing practical compliance guidance and helping the business navigate regulatory requirements. This offers considerably more interaction with the investment side of the business than many traditional compliance roles.
• Strong leadership and professional development: The individual will work closely with experienced compliance leadership while having the autonomy to manage important responsibilities independently. For someone with good judgment, initiative and a willingness to take ownership, there is meaningful room to grow.
• Long-term career opportunity: This is an attractive opportunity for someone who enjoys being a generalist, wants to continue developing technically and is interested in taking on a more senior role within an established investment management platform.
• Competitive compensation: The firm is prepared to offer a highly competitive compensation package, potentially reaching approximately $400K, depending on experience.