Compliance Officer

Job Description

Job Description

Compliance Officer

We are currently recruiting for a Compliance opportunity. This position will primarily focus on transaction advisory compliance for our client's credit business. The role is onsite five days per week, with the opportunity to convert to a full-time permanent position. We are ideally targeting candidates with 5–10 years of experience at the AVP or VP level. Prior financial services experience is required.

Responsibilities

• Evaluate potential conflicts of interest associated with proposed investment transactions and provide practical compliance guidance.
• Support the governance framework, oversight processes, and regulatory reporting for the Credit platform.
• Serve as a trusted compliance advisor to investment professionals on regulatory requirements and internal policies.
• Perform ongoing compliance monitoring, testing, and reporting while helping implement and enhance policies, procedures, and controls.
• Advise on matters involving market abuse, information barriers, wall crossings, and conflicts management in accordance with applicable regulations and firm standards.
• Stay current on evolving regulatory developments, assess business impact, and recommend process enhancements to address compliance gaps.
• Develop, update, and maintain compliance policies, procedures, and internal guidance documents.
• Deliver compliance training to business teams on regulatory updates and firm-wide policies.
• Partner with internal audit, finance, operations, and external auditors to conduct periodic risk assessments and strengthen the firm's compliance testing and regulatory readiness.
• Support pre-trade compliance reviews and controls, including oversight of the firm's security master and other key reference data.
• Review trade reallocations, best execution activity, and trade exceptions to ensure adherence to internal and regulatory requirements.
• Assist in investigating, resolving, and documenting trading and operational issues or errors.
• Support the compliance aspects of onboarding new client accounts.
• Maintain and monitor portfolio and client restricted lists, including affiliated investment restrictions.
• Drive process improvements and assist with implementing technology solutions that enhance the efficiency and effectiveness of the compliance function.
  Qualifications
• 7+ years of regulatory compliance experience within an alternative investment manager, private equity, credit, or broader asset management environment.
• Demonstrated knowledge of investment advisory regulations and compliance best practices.
• Self-motivated, resourceful, and proactive with a solutions-oriented mindset and strong ethical standards.
• Proven ability to manage multiple priorities and projects in a fast-paced environment while exercising sound judgment.
• Strong project management and organizational skills with exceptional attention to detail.
• Collaborative team player with the ability to build effective relationships across business and support functions.
• Excellent written and verbal communication skills, with the ability to present complex regulatory concepts clearly.
• Strong analytical and problem-solving abilities.
• Advanced proficiency in Microsoft Office, particularly Excel and PowerPoint.