Compliance Officer

Overview 

A global investment and technology development firm is seeking a proactive and detail-oriented compliance professional to join its Legal & Compliance team. This role supports multiple aspects of the firm’s compliance program, including compliance testing, regulatory projects, training, and oversight of third-party service providers, and involves close collaboration with colleagues across compliance, legal, operations, front office, and technology groups. The position provides significant exposure to the firm’s trading activities and regulatory frameworks, with opportunities for meaningful ownership of program areas over time, in a collegial, intellectually engaging environment.

Key Responsibilities

• Conduct compliance testing by interpreting regulatory requirements, designing test plans, coordinating and carrying out reviews, and documenting findings and recommendations.
• Perform investment adviser-related regulatory analysis, including evaluating the impact of new business initiatives and policy changes.
• Monitor third-party service providers to ensure compliance with contractual and regulatory standards.
• Prepare and present internal metrics and compliance reports for senior stakeholders. 
• Develop trainings to support compliance initiatives and promote awareness of regulatory obligations across the firm. 

Skills, Knowledge & Experience

• A bachelor’s degree or higher, with an impressive record of academic and professional achievement. 
• Four to eight years of experience in compliance, audit, or a related legal or operational role; experience at a financial services firm, particularly an investment adviser, is a plus but not required. 
• Keen analytical skills, comfort with numbers and data, and a genuine interest in using technical tools to streamline processes. 
• Excellent written and verbal communication skills, with the ability to produce clear reports and materials for senior audiences. 
• Well-developed judgment and discretion, and the ability to manage large processes and coordinate workstreams across legal, compliance, operations, front office, and technology teams. 
• A high level of motivation, a record of taking initiative, well-developed problem-solving skills, and the ability to think creatively and strategically.

Additional Information & Company Benefits

The expected annual base salary for this position is $140,000 to $180,000. The compensation and benefits package includes variable compensation in the form of a year-end bonus, guaranteed in the first year of hire, and benefits including medical and prescription drug coverage, 401(k) contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.