Senior Compliance Officer
Taylor Root
Our client, a global investment platform , is seeking a senior compliance professional to support a growing private credit strategy . This is a high-impact, front-facing role working directly with investment professionals in a fast-paced, transaction-oriented environment. Role Overview This position sits within a scaled credit platform and provides real-time compliance advisory across a high volume of investment transactions . The role requires close partnership with deal teams and strong commercial judgment in navigating complex regulatory, structuring, and conflict considerations , including within a registered vehicle structure. Key Responsibilities Provide real-time advisory on conflicts of interest, affiliate transactions, and co-investment considerations Review deal materials, investment committee memos, and transaction documentation for regulatory and internal policy compliance Oversee compliance for a registered investment vehicle , including governance, reporting, and program execution Interpret and apply Investment Advisers Act and Investment Company Act frameworks in a practical, business-oriented manner Support allocation decisions and oversight of multi-vehicle investing activity Operate effectively in a high-volume, execution-driven environment Contribute to the evolution of compliance policies and procedures as the platform scales Participate in valuation committees and internal governance forums Qualifications 10+ years of compliance experience within private credit, direct lending, or alternative asset management Strong understanding of Investment Advisers Act and Investment Company Act (’40 Act) requirements Experience supporting registered structures and related governance processes Demonstrated ability to analyze complex transactions and provide practical, risk-based guidance Experience advising on conflicts and affiliate transactions Ability to operate in a fast-moving, detail-intensive environment Strong executive presence with the ability to partner effectively with senior investment professionals #J-18808-Ljbffr
- ...global quant trading firm is looking for an experienced, Senior Compiance Officer to join their growing team. The SeniorCompliance Officer will... ...trading and sales teams, ensuring a strong culture of compliance across the firm. This role will require 5 days a week onsite...Senior
Larson Maddox
New York, NY3 days ago $184.8k
...Hospitable, Inc is looking for a Senior Compliance Officer to lead their compliance initiatives. This role involves managing the SOC 2 Type II compliance program and rolling out PCI DSS compliance. The candidate should have significant experience in compliance programs...SeniorRemote workHospitable, Inc
New York, NY2 days ago- .... The role will report directly into the CCO and cover Central Compliance function for the firm including Marketing and Advertising Compliance... ...preferred. BA Required JD/MBA a plus but not required. This is an in-office role based in Midtown Manhattan. #J-18808-Ljbffr...SeniorWork at office
TBG | The Bachrach Group
New York, NY11 hours ago - ...Senior Compliance Officer/Deputy CCO to become CCO (New York, NY): Our client, a growing hedge fund focused looking to hire a Senior Compliance Officer or Deputy CCO. This individual will work closely with senior leadership and take on broad responsibility across the compliance...SeniorWork at officeWork from home
Landing Point
New York, NY1 day ago - ...Senior Compliance Officer – Investec USA Investec USA's Compliance Advisory function is based in our New York office and supports multiple business lines, with a primary focus on a registered broker‑dealer. You will be a key member of a compliance team, reporting to the...SeniorWork at office
INVESTEC SERVICES INC
New York, NY1 day ago $160k - $212k
...Counsel Our fast-paced FEC Governance Team (part of the wider AML Compliance Team) is looking for a FEC Counsel with solid experience in... ...a people person who enjoys collaborating across levels of seniority, cultures, and backgrounds; and, You have a strong ability to...SeniorFull timeRelocationAdyen
New York, NY11 hours ago$215k - $260k
...Senior Vice President, Senior Compliance Officer PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience...SeniorFlexible hoursPIMCO
New York, NY11 hours ago$160k - $175k
...Senior Compliance Officer II US B Regulatory Compliance We are looking for a Senior Compliance Officer to join our Compliance Team. The role may be based in New York, NY or Miami Lakes, FL. The right candidate will support the consumer regulatory compliance functions for...SeniorFull timeTemporary workPart timeSeasonal workWork at officeFlexible hoursPopular
New York, NY1 day ago- ...purchase plan Job Description About the Department: The Office of the CCO is an Advisory Compliance function that supports the Americas region with... ...reputational, and financial risk. About the role: The Senior Compliance Officer position assists Invesco’s Americas...SeniorFull timePart timeWork at officeFlexible hours
Dormont Manufacturing Company
New York, NY19 hours ago - Larson Maddox, a global quant trading firm based in New York, is seeking an experienced Senior Compliance Officer to ensure compliance with regulatory requirements. This role involves providing guidance to equities trading and sales teams, requiring 6+ years of relevant...Senior
$140k - $190k
Brown Brothers Harriman & Co. is seeking a Compliance Officer to oversee compliance for two trust company subsidiaries. This role includes managing the compliance program, interacting with regulators, and ensuring adherence to relevant laws. Applicants should have over...Senior- SGS Société Générale de Surveillance SA is hiring for a compliance advisory role focused on regulatory guidance and oversight of research publications. The ideal candidate will possess strong knowledge of U.S. securities laws and have at least 5 years of relevant experience...Senior
$141k - $247k
Itlearn360 is seeking an Officer for BSA/AML Compliance based in New York, NY. The ideal candidate will serve as a subject matter expert and manage BSA/AML compliance programs aligned with the company's risk profile. This full-time role offers a salary range of $141,00...SeniorFull time$110k - $135k
Dormont Manufacturing Co is seeking a Senior Compliance Officer in New York to join the Compliance Monitoring and Testing Team. This role requires developing and executing the annual compliance testing plan, with a focus on regulatory compliance in the firm. The ideal candidate...Senior- ...Senior Safety and Compliance Officer The Senior Safety and Compliance Officer (SSCO) is a leadership position responsible for staff supervision and oversight of all chemical and laboratory safety programs within the Office of Research Safety-Chemical (ORSC). The ORSC...SeniorWork at officeLocal area
University of Georgia
Brooklyn, NY1 day ago - A compliance-focused staffing agency in New York is seeking a Compliance Officer to ensure adherence to regulatory standards. Responsibilities include developing compliance programs, conducting audits, and providing training. The ideal candidate has a Bachelor's degree...Senior
- Invesco is seeking a Senior Compliance Officer to oversee compliance for their Americas business. This role will assist in ensuring compliance with regulatory requirements across various account types, including mutual funds and institutional mandates. The ideal candidate...SeniorFull time
- ...global financial institution that has recently established a new Compliance Regulatory Initiatives team within its U.S. Wholesale... ...part of this build-out, they are looking to add a Compliance Officer to support firmwide policy, procedure, and regulatory governance...Senior
- We are partnering with a leading global financial services firm seeking a Senior Equities Compliance Officer to provide regulatory advisory support to its equities trading and sales businesses. This role sits within the second line of defense and focuses on ensuring alignment...Senior
- Overview We are seeking a highly motivated individual to join our team as a Senior Compliance Officer. In this role, the individual will provide real-time regulatory guidance and oversight to the firm’s equities trading and sales teams. The role ensures that business activities...Senior
- Une institution financière basée à New York recherche un Senior Compliance Officer pour rejoindre son équipe de surveillance et de tests de conformité. Le candidat idéal doit avoir une expérience de 5 à 7 ans dans le domaine de la conformité, une formation en baccalauré...SeniorRemote job
$175k - $200k
...requirements. Develop, maintain, and enhance compliance policies and written supervisory... ...maintain trusted advisory relationships with senior business leaders, serving as a strategic... ...ability to partner closely with front-office and senior stakeholders, embedding compliance...Senior- Compliance - Senior Compliance Officer - New Jersey New Jersey About us: Founded in 2015, B2C2 is a global leader for institutional liquidity within digital assets. We bring 24/7 365 days a year deep, reliable pricing for spot, futures, options, CFDs, and NDFs across...SeniorLocal areaShift work
- ...including the design of initiatives to further enhance the global Compliance Management Program of the Knorr-Bremse Group Support the... ...up culture Act as a strategic advisor to regional compliance officers worldwide, guiding the implementation and continuous enhancement...SeniorRemote workWorldwide
$100k - $135k
TD is seeking a Senior Compliance Officer in New York, New York. This role is crucial for the Compliance Monitoring and Testing Team, overseeing compliance testing, preparing reports, and developing metrics. The ideal candidate will have a Bachelor's degree, 5-7 years of...SeniorWork at office- ...rapid growth across global markets, we need an execution-focused senior compliance leader to strengthen regulatory engagement discipline, drive... ...risk matters to senior management and the Global Chief Legal Officer. Serve as a key stakeholder in regulatory change initiatives...SeniorLocal areaWorldwideFlexible hoursShift work
$125k - $175k
Purpose of Role Marex is recruiting a Surveillance Compliance Officer to join the team at our New York office. The role focuses on Trade Surveillance (Trade Activity and Communications) across a range of asset classes including Cash Equity, Fixed Income, Commodities and...SeniorWork at office$150k - $180k
Senior Compliance Officer - FCM Advisor - VN2537 New York, NY Full-Time Compliance Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities...SeniorFull timeWork at officeImmediate start- Landing Point is seeking a Senior Compliance Officer/Deputy CCO in New York, NY, who will support the CCO in overseeing the firm’s compliance program with a clear path to the CCO position in 1-2 years. This role offers exposure to trading-related compliance issues in a...Senior
$148k - $184.8k
...our customers, partners, and future acquirers place in us. Compliance isn’t a checkbox exercise here - it’s a core part of how... ...accelerate the business. We’re hiring our first dedicated Senior Compliance Officer to own and mature our compliance program. You’ll be building...SeniorRemote jobTemporary workFor contractors
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