Compliance Officer, Family Office
The Compliance Officer role centers on building a comprehensive, multi‑jurisdictional compliance framework for a growing, globally active investment organization. This position consolidates existing policies, creates scalable processes, and establishes a strong governance foundation spanning trading, regulatory, operational, and enterprise‑level compliance domains. The role requires someone who is detail‑oriented, pragmatic, technologically forward, and highly capable of partnering across functions in a fast‑moving environment. As an early member of the compliance function, you will operate as an individual contributor while collaborating closely with Legal, Security, Investments, Operations, and other teams to shape a resilient compliance program.
A major focus of this position is standing up a full trading‑compliance program for new proprietary trading activity across the U.S., Singapore, and UAE, including designing controls, drafting policies, monitoring risks, managing inquiries, and ensuring audit‑ready documentation. Additional responsibilities span policy ownership, regulatory monitoring, annual risk assessments, surveillance oversight, training programs, reporting, incident response, and cross‑functional alignment. This is a high‑visibility role offering broad influence over the organization's compliance culture, processes, and long‑term infrastructure.
Required Qualifications
- 10+ years in markets/trading compliance within a lean or buildout environment
- Strong U.S. regulatory expertise (SEC/CFTC/NFA/exchange rules) + exposure to Singapore/MAS; comfort with ADGM/FSRA
- Knowledge of equities, futures, FX, and derivatives; experience with surveillance, MNPI controls, and recordkeeping
- Proven ability to design and implement compliance processes and documentation systems
- Strong interest in tech‑enabled efficiency
- Deep understanding of regulatory frameworks
- Exceptional attention to detail and organizational skills
- Excellent communication and stakeholder‑management capabilities
- Self‑starter able to work independently and multitask
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