Hedge Fund - Compliance Officer Job at Landing Point, New York, NY

elVSZWZiMUdiMFhkb3NJZCtDV0JCOWZNMmc9PQ==
  • Landing Point
  • New York, NY

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).

Job Tags

Similar Jobs

Pfeiffer Vacuum+Fab Solutions

Customer Success Specialist Job at Pfeiffer Vacuum+Fab Solutions

 ...SUMMARY Responsible for interfacing with customers prior to and after a sale. Develops and maintains positive customer relations and...  ...company functions to ensure quality and timely delivery of services and products. This position has a strong focus on key account... 

EVE Energy Co.,Ltd.

Finance Accounting Intern Job at EVE Energy Co.,Ltd.

 ...reporting, budgeting, and forecasting activities Support monthly closings, account reconciliations, and expense tracking Conduct market and financial analysis to support strategic initiatives Help prepare presentations and reports for internal stakeholders... 

Upward Health

Care Specialist Job at Upward Health

 ...Documents each patient encounter with accuracy and precision. Prepares reports and documents as needed or requested. Attends regular daily huddle, team meetings and participates in clinical rounds. Other duties as needed. KNOWLEDGE, SKILLS & ABILITIES:... 

Land Morphology

Landscape Architect / Designer Job at Land Morphology

Land Morphology is a design-driven, midsized landscape architecture firm based in Seattle, celebrated for crafting distinctive and meticulously detailed landscapes.The studio is widely recognized for its design of high-end residential estates and gardens, with a strong...

TJ Services Site Solutions

Truck Driver Job at TJ Services Site Solutions

 ...operating and maintaining trucks Knowledge of DOT Regulations and compliance standards Excellent time management and communication skills Ability to work independently and handle physically demanding tasks Prior experience in waste removal services is a plus...