Job Description

Compliance Officer

Hybrid - New York City

Salary : $175-200k base + bonus (up to 250-275k all in), depending on experience

Overview:

A Hedge fund is seeking a Compliance Officer to join its New York-based compliance team. This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering an excellent opportunity to advance your career in compliance and asset management. As a generalist position, it provides broad exposure to the firm's entire compliance program.

The ideal candidate will have between 3-8 years of compliance experience within an asset manager.

Responsibilities:

• Assist with the implementation, maintenance, and enhancement of the firm’s compliance program in accordance with SEC regulations and industry best practices (e.g., Investment Advisers Act of 1940).
• Monitor employee personal trading, gifts and entertainment, outside business activities, and political contributions using compliance systems (e.g., StarCompliance, ComplianceAlpha).
• Conduct trade surveillance and monitor investment activity to ensure compliance with regulatory requirements and internal policies.
• Support regulatory filings, including Form ADV, Form PF, Form 13F, and NFA/CFTC reporting.
• Review and approve marketing and investor communications for regulatory consistency.
• Participate in internal and external audits, SEC exams, and regulatory inquiries.
• Perform forensic testing, risk assessments, and compliance reviews across business lines.
• Educate employees on compliance matters through periodic training and updates.
• Provide real-time compliance support to investment teams, operations, and other internal stakeholders.

Qualifications :

• 3–8 years of relevant compliance experience at a hedge fund, asset manager, or within a regulatory or legal advisory environment.
• Strong knowledge of SEC rules, the Investment Advisers Act of 1940, and familiarity with NFA/CFTC regulations.
• Experience with compliance technology platforms (e.g., ComplianceAlpha, StarCompliance, Code of Ethics tools).

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