Senior Compliance Officer

New York, NY



  • Work alongside the GC/CCO in designing, retaining, and executing all compliance and conflicts of interest procedures, including: the firm’s compliance manual, yearly compliance assessment, and policies concerning code of ethics, personal trading, and expense and trade allocations
  • Completion of all SEC, NFA, and FCA regulatory filings with assistance from Back Office (i.e., ADV, PF, 13D-F-G-H, Form D, CPO PQR and PFS, GABRIEL filings, MiFID II, etc.)
  • Operate the firm’s compliance testing and supervising activities, including the examination of trading and portfolio management activity, forensic testing, various trade surveillance reports and electronic communications
  • Provide real-time trading advice across all of the firm’s business units, and assess compliance/regulatory risk in the firm’s trading processes
  • Help organize the firm’s regulatory exams, mock exams, and regulatory/exchange inquiries
  • Assist with the firm’s Annual 206(4)-7 Compliance Review
  • Advise on domestic and foreign jurisdictional marketing efforts, including marketing materials and client onboarding compliance matters such as fund guidelines
  • Assist with the firm’s cybersecurity, BCP, privacy, MiFID II, and GDPR initiatives
  • Oversee the firm’s Code of Ethics (i.e., personal trading policy, political contributions, etc.)
  • Interpret and analyze the impact of change to relevant laws, regulations, and market infrastructure as it relates to compliance risk
  • Conduct employee compliance training
  • Provide strong compliance support and execution with respect to all critical ad-hoc projects




  • 5 -10+ years relevant experience managing a global compliance program (fund experience preferred). JD degree preferred, but not required
  • Prior experience working in a compliance function with knowledge of the Advisors Act, CFTC Rules and Regulations, NFA Rules, and other global regulatory agencies
  • Knowledge of trading rules, derivatives markets and familiarity with complex financial products is appreciated
  • Excellent written communication skills with an aptitude for technology
  • Familiar working in a fast-paced, high-pressure environment with multiple deadlines






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 11/17/2020
Salary $150,000 - $225,000 + bonus

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