Senior Compliance Officer

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 program in a lean, collaborative environment. The role is highly visible and offers a clear path to step into the CCO position over the next 1–2 years. It is ideal for someone who enjoys being a true generalist while maintaining a strong focus on trading-related compliance. Key points: Clear path to CCO over the next 1-2 years Broad generalist role with real exposure to trading-heavy compliance issues Newly created seat driven by firm growth and investor demand Lean, entrepreneurial environment with direct access to senior leadership Compensation: up to 500k all in, depending on experience WFH policy: 4 days in the office Key Responsibilities: Support the CCO in overseeing and enhancing the firm’s compliance program Monitor trading activity and advise on trading-related compliance issues Maintain and administer the restricted list, watch list, and MNPI controls Review potential MNPI issues and help manage information barriers Oversee expert network usage, approvals, documentation, and related controls Partner with investment professionals on real-time compliance questions Review marketing materials, investor communications, pitch books, DDQs, and other external materials Assist with regulatory filings and ongoing reporting obligations Administer the Code of Ethics, including personal trading, gifts and entertainment, political contributions, outside business activities, and certifications Conduct employee training and help reinforce compliance policies across the firm Assist with annual compliance reviews, testing, risk assessments, and policy updates Support preparation for SEC exams, investor diligence requests, and internal audits Help maintain written policies and procedures tailored to the firm’s trading strategy and business model Work with operations, finance, investor relations, and the investment team on cross‑functional compliance matters Identify process improvements and help build a scalable compliance infrastructure as the firm grows Serve as a senior compliance resource and potential successor to the CCO over time Qualifications: 5–10 years of compliance experience within a hedge fund, asset manager, or trading environment Strong knowledge of trading compliance, including MNPI, restricted lists, and information barriers Experience supporting or interacting with active trading desks Familiarity with expert network compliance and related risk areas Exposure to marketing review, Code of Ethics administration, and regulatory filings Experience supporting SEC exams, annual reviews, and compliance testing Comfortable operating in a lean, hands‑on environment with broad responsibilities Strong judgment, communication skills, and ability to work directly with senior investment professionals #J-18808-Ljbffr