Skip Navigation
Investment Banking Client

Senior Compliance Officer

  • New York, NY
  • Full Time

Apply for the Senior Compliance Officer position

"*" indicates required fields

Max. file size: 10 MB.
Drop files, or upload here
This field is for validation purposes and should be left unchanged.

Office Status: Hybrid (4 days per week in office)


  • Lead efforts to draft, maintain and implement compliance policies and procedures; responsible for ongoing maintenance of Global Compliance Manual
  • Coordinate global regulatory filings, including, among others: Form ADV, Form PF, CPO-PQR; FCA and SFC-related filings
  • Lead response to inquiries and exams by regulators, including SEC and NFA / CFTC
  • Manage annual 206(4)-7 Compliance Review; assist in ongoing compliance testing and monitoring
  • Monitor and maintain Regulatory Radar tracker related to pending rules and regulations applicable to the firm; lead efforts to update compliance program in advance of such changes
  • Provide real-time trade compliance advice across investment teams
  • Advise on U.S. and non-U.S. marketing of commingled private funds
  • Assist with cybersecurity initiatives
  • Help build annual compliance training program