Compliance Officer
Compliance Officer - Expert Networks Oversight
A leading global investment management firm is seeking an experienced Compliance Officer to join its team in New York. The firm manages a diverse portfolio across multiple asset classes and is known for its collaborative, high-performance culture. This role will focus on overseeing expert network interactions and ensuring compliance with regulatory and internal standards. The ideal candidate will bring deep experience in compliance within the financial services industry and a strong understanding of information vetting and risk management. If you are interested in the job description below, please apply to the link. We are looking forward to receiving applications for this exciting role that would allow you to work at one of the most prestigious asset management firms in the world! If you know someone that is interested, feel free to email with any referrals:
Key Responsibilities
- Review and approve expert network interactions; chaperone and document calls.
- Analyze potential MNPI and enforce vetting procedures.
- Maintain and update compliance policies and procedures.
- Provide training and compliance guidance to staff.
Qualifications
- Bachelor's degree with 5-8+ years of compliance experience.
- Background in investment adviser or broker-dealer environments.
- Strong organizational, analytical, and communication skills.
- Ability to work independently in a fast-paced setting
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your cv so you can be considered for roles that have yet to be created.
Yes, we help with cv and interview preparation. From customised support on how to optimise your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.