Compliance Officer

New York, NY


Our client, a major asset management firm, is looking for a Compliance Officer reporting into the Deputy CCO.






  • Review regulatory developments and assist in implementing procedures to ensure platform compliance with all applicable rules and regulations
  • Review and develop compliance processes, policies, and procedures to demonstrate that the firm has appropriate internal controls
  • Designing and implementing compliance training programs for various business units and professionals
  • Assist with obtaining and maintaining regulatory licenses and registrations on a global basis
  • Implementing a vendor risk assessment and oversight program
  • Assist in preparing for and responding to regulatory inquiries and examinations
  • Assisting with compliance testing and mock audits
  • Review and complete periodic client/investor questionnaires, client due diligence requests, and related matters both independently and in conjunction with other departments
  • Maintain compliance calendar and project-manage departmental initiatives
  • Assisting with completion of various regulatory filings, including Form ADV and Form PF






  • 3-6 years of compliance experience in compliance
  • Previous experience in policy and procedure drafting along with trade surveillance highly preferred
  • Excellent written and verbal communication skills



Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 3/1/2018
Salary $100,000 - $150,000 + Bonus

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