Compliance Officer
Investment Compliance Officer
Location: New York City, NY (Hybrid)
Compensation: $150,000 - $180,000 + Bonus
A leading institutional investment organization is seeking an experienced compliance professional to support its investment compliance program. This role offers broad exposure across regulatory compliance, investment advisory activities, and compliance monitoring within a sophisticated investment environment.
Responsibilities
- Support the firm's investment compliance program and related regulatory obligations.
- Conduct compliance monitoring, testing, and surveillance activities.
- Assist with regulatory filings, including Form ADV amendments, updates, and disclosures.
- Review investment activities for compliance with internal policies and regulatory requirements.
- Administer employee compliance programs, including personal trading and Code of Ethics oversight.
- Assist with regulatory examinations, audits, and compliance reporting.
- Monitor regulatory developments and help implement policy and procedural updates.
- Partner with investment, legal, risk, and operational teams on day-to-day compliance matters.
Qualifications
- 5+ years of compliance experience within investment management, asset management, wealth management, insurance asset management, or financial services.
- Experience supporting a Registered Investment Adviser (RIA) compliance program.
- Hands-on experience with Form ADV filings and SEC regulatory requirements.
- Background in compliance testing, monitoring, and risk assessments.
- Strong communication and stakeholder management skills.
- Bachelor's degree required.
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