Accessibility
Home
Jobs
Upload CV
Find Talent
Careers
Senior Compliance Officer
We are conducting a confidential search on behalf of a NYC-based investment advisory firm serving institutional investors across multiple strategies.
This role will report to the CCO and work closely with Counsel, Compliance Advisors, Trade Operations, Portfolio Management, and Investor Relations to support the execution and ongoing enhancement of the firm’s compliance program and regulatory obligations on a day to day basis.
This is a hands-on Compliance Officer role with meaningful ownership across core RIA compliance, including:
- Form ADV / Form PF support and coordination
- Marketing Rule review of investor materials
- Code of Ethics administration (personal trading, gifts/entertainment, certifications)
- Testing, monitoring, and exam support
- Close partnership with Trading, Operations, Legal/Counsel, and Investor Relations
The firm is a lean, well-capitalized platform with clear runway for growth and increased responsibility.
Barclay Simpson, worldwide specialists in Compliance jobs: https://www.barclaysimpson.com/specialisms/compliance-jobs/
Job listing posted by Barclay Simpson: https://www.barclaysimpson.com/job/senior-compliance-officer/
We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.
Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.
