Compliance Officer (Hybrid)

  • Location: New York. NY, New York
  • Type: Perm (Contingency)
  • Job #33341
  • Salary: $85,000.00

Location: New York City
Compensation: $85,000 – $130,000 + bonus

Job Overview:
Our client, a global institutional investment firm, is seeking an experienced Compliance Officer for the New York or London office. The focus of this role will be to assist the Compliance Department with reviewing and approving Expert Network Requests and providing compliance oversight to investment and non-investment staff.

In the role of Compliance Officer, you will also be responsible for the following 

  • Reviewing and approving expert network requests from investment team members
  • Working closely with the third-party providers we have partnered with
  • Chaperoning expert network calls, document and track all calls and meeting notes
  • Reviewing new hire exams, escalate when necessary
  • Conducting new hire and annual compliance training
  • Handling compliance inquiries and providing oversight and guidance to the investment and non-investment staff
  • Reviewing subject expert meeting requests
  • Assisting the team on the Compliance Annual review process
  • Assisting the Compliance Department with ongoing regulatory requirements
  • Helping with enforcing compliance policies
  • Escalating matters to the Director of Compliance and the GC/CCO as necessary

To be considered for the Compliance Officer role, you should have 

  • Bachelor’s Degree required
  • 2-3 years minimum compliance or legal experience with an investment adviser or broker-dealer
  • Strong organizational and research skills
  • Ability to juggle multiple tasks when necessary
  • Ability to work independently and excel in a high-intensity environment
  • High standard of professionalism in all dealings with internal staff and any external partners, clients, and regulatory agencies


  • Free dental and vision insurance
  • HSA that is free
  • PPO with negligible cost
  • Great PTO policy
  • 401-K with competitive match
  • Hybrid model of 3 days in office, 2 days at home
  • Employees do not have to be vaccinated

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

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Job ID: 33341