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

RWc0N2o2ZW1ZNjQrbUg0dzArcUM0OXp0VVE9PQ==
  • 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

Pool Troopers

Construction Laborer Job at Pool Troopers

 ...We are seeking a hardworking and reliable Pool Construction Laborer to assist in the renovation and remodeling of swimming pools. This...  ...Operate hand and power tools safely and effectively. Maintain a clean and organized work environment. Follow safety guidelines... 

R.J.'S BOB-BE-QUE SHACK

Patio Bar Manager Job at R.J.'S BOB-BE-QUE SHACK

 ...R.J.'s Bob Be Que Shack in Mission, KS is looking for one patio bar manager to join our 27 person strong team. We are located on 5835 Lamar Ave. Our ideal candidate is self-driven, ambitious, and hard-working. This is an Hourly $9.50 plus tip position + bonus Average $... 

Freedom Home Health and Hospice Care Services Inc.

Certified Home Health Aide Job at Freedom Home Health and Hospice Care Services Inc.

 ...JOB DESCRIPTION SUMMARY The home health aide is a paraprofessional member of the home care team who works under the supervision of a registered nurse or therapist and performs various personal care services as necessary to meet the patients needs. The home health... 

Theory

Sales Associate - Flatiron Job at Theory

At Theory, we create clothes that matter, that empower and improve the way we live through exceptional fit, fabric, and style. In 1997, Theory was founded in New York on the simple idea that stretch fabrics in tailored clothing could change how we dress and live. Two...

iHeir China Antifungal Technology Co.,Ltd

Foreign trade sales Job at iHeir China Antifungal Technology Co.,Ltd

Job Responsibilities1. Channel layout: Assist the company in implementing overseas development strategies and business plans, understand industry status, plan and adjust the company's business network and sales channel layout, and develop and expand.2. Channel development...