Compliance Officer
$130,000–$150,000 year
On-site · New York City, New York, United States
Job Summary
Role within the Compliance team based in NY to work under the Head of Compliance. Responsibilities include performing required compliance functions, assisting with new product launches and client onboarding, drafting and updating Compliance policies and procedures, conducting regulatory analysis of new and existing rules, developing and delivering compliance training, executing the Compliance Monitoring Program, coordinating annual reviews across RIAs, assisting with regulatory filings (Form ADV and others), responding to regulatory questions, and contributing to ad hoc compliance matters and projects; requires 5+ years of relevant experience, strong knowledge of relevant rules, and the ability to work in a fast-paced, collaborative environment.
Required Qualifications
- 5+ years of relevant experience in compliance (preferably at hedge fund or large asset management firm)
- Strong working knowledge of Investment Advisers Act of 1940, ERISA and NFA/CFTC requirements
- Ability to work in a busy environment and multi-task in independent and team settings
- Self-motivated with exceptional organizational, communication and interpersonal skills
- Ability to navigate and learn new systems
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