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

VnVLdEFqS05JWU16cFlMNytVS3VkU3o2NEE9PQ==
  • 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

Scott Humphrey Corporation

Project Manager- Data Center Construction Job at Scott Humphrey Corporation

 ...A nationally recognized design-build contractor is seeking a Project Manager Mission Critical Construction to lead data center projects across Ohio. This role is ideal for a construction professional with a strong background in mission-critical environments, particularly... 

Provider Solutions & Development

TeleEEG Physician Opportunity Job at Provider Solutions & Development

Join a purpose-driven, physician-led TeleEEG practice as a BC/BE Neurologist and Epileptologist and be part of a high-performing group...  ...for them.**Where You'll Live**Telehealth (also known as telemedicine) is a quickly growing work structure that allows physicians and... 

Visiting Angels - Boston

In Home Caregiver- Hiring CNA's, HHA's, PCA's Job at Visiting Angels - Boston

 ...can make a difference everyday.Join our family of Angels! Visiting Angels of Boston/ Cambridge is hiring reliable, compassionate, and dependable caregivers, PCA's, CNA's and HHA's to work with our wonderful clients in the areas of Boston and Cambridge, MA. We care... 

AllSearch Professional Staffing

Personal Lines Sales Representative - P&C Insurance Company - Base Salary to 45k/year - Phoenix, AZ Job at AllSearch Professional Staffing

 ...Personal Lines Sales Representative - P&C Insurance Company - Base Salary to 45k/year -...  ...Personal Lines Sales Representative will work on an east coast schedule of 11am-8pm....  ...business selling products such as auto, home and RV insurance. Responsibilities:... 

WV Departments of Health, Health Facilities, and Human Servi...

Temporary Investigator Job at WV Departments of Health, Health Facilities, and Human Servi...

 ...About the Role: We are seeking a detail-oriented, experienced professional to join our team as a temporary Investigator. If you have a passion for justice, a keen eye for detail, and knowledge in dealing with discrimination and harassment investigations, this position...