Compliance Officer
Compliance Officer
Location: New York Metro Area (Onsite)
Compensation: $160,000 - $200,000 Base Salary + Bonus
About the Opportunity
A sophisticated global investment management organization is seeking an experienced Compliance Officer to join its compliance team. This role offers significant exposure to senior leadership, investment professionals, trading teams, legal, operations, and technology stakeholders across a complex investment platform.
The successful candidate will help navigate evolving regulatory requirements, provide practical compliance guidance, and lead strategic initiatives designed to strengthen the firm's global compliance framework. This position is ideal for a seasoned professional who thrives in a fast-paced, intellectually rigorous environment and enjoys solving complex regulatory and business challenges.
Key Responsibilities
- Serve as a trusted compliance advisor to investment, trading, research, and business teams.
- Develop a comprehensive understanding of the firm's investment activities, operational structure, and regulatory obligations.
- Assess regulatory and compliance matters, identify key risks, and drive appropriate resolutions.
- Lead compliance projects and initiatives from concept through implementation, including stakeholder management and execution.
- Draft, review, and enhance compliance policies, procedures, guidance materials, and governance documentation.
- Partner closely with Legal, Operations, Technology, and business stakeholders to address compliance questions and emerging regulatory developments.
- Identify opportunities to strengthen controls, improve processes, and enhance the overall compliance infrastructure.
- Provide practical, risk-based guidance while balancing regulatory expectations with business objectives.
- Communicate complex regulatory issues clearly and effectively to both technical and non-technical audiences.
- Support ongoing development and maintenance of a global compliance program.
Qualifications
- 12-15+ years of compliance experience within asset management, investment management, hedge funds, financial services, or a related regulatory environment.
- Extensive experience supporting registered investment advisers, asset managers, or alternative investment firms.
- Direct experience supporting quantitative, systematic, algorithmic, or data-driven investment strategies is required.
- Strong understanding of how quantitative investment platforms operate, including interactions among portfolio management, research, trading, technology, operations, and compliance teams.
- Experience managing complex regulatory and compliance matters across multiple jurisdictions.
- Demonstrated ability to translate regulatory requirements into practical and scalable business solutions.
- Strong project management skills with experience leading initiatives from assessment through implementation.
- Exceptional analytical, critical thinking, and problem-solving abilities.
- Excellent written, verbal, and interpersonal communication skills.
- Ability to operate independently while partnering effectively across multiple business functions.
Preferred Experience
- Experience working within hedge funds, quantitative asset managers, multi-strategy investment firms, or alternative investment platforms.
- Familiarity with electronic trading environments, quantitative research processes, and systematic investment models.
- Experience supporting global investment businesses with complex regulatory obligations.
- Proven success advising highly sophisticated investment and technology-focused organizations.
FAQs
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