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Investment Banking Client

Senior Compliance Officer

  • New York, NY
  • Full Time

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

Responsibilities:

  • 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