Compliance Officer, Finance & Banking

Our client is a private equity firm. They seek a Compliance Officer to join their Manhattan, NY office.

Responsibilities Coordinate monthly compliance testing activities, including documentation collection and verification of regulatory requirements

Support annual compliance reviews, mock audits, and ongoing updates to compliance policies and procedures

Maintain compliance manuals, codes of ethics, and regulatory materials in accordance with evolving requirements

Deliver employee onboarding support and compliance training sessions for new hires

Administer employee compliance processes, including personal trading reviews, certifications, and pre-clearance requests

Monitor compliance deadlines and ensure timely completion of regulatory and internal requirements

Assist with AML/KYC reviews, investor diligence requests, marketing material reviews, and compliance inquiries

Collaborate with internal teams and external consultants on regulatory filings, audits, and service provider oversight

Support corporate governance activities, including entity maintenance, renewals, structure documentation, and compliance filings

Contribute to ESG initiatives, insurance renewals, expert network reviews, and co-investment processes

Requirements

Bachelor’s degree required2-5 years of compliance experience at an SEC-registered investment adviser or compliance consulting firm Exposure to PE is preferred

Strong knowledge of the SEC regulatory framework

Working knowledge of SEC cyber and disaster recovery best practices and various data privacy
regulations

Strong knowledge of UK FCA regulations and filings preferred

Ability to thrive in a team environment

Effective communication skills, both written and verbal

Tagged as:
In-Office Date Posted:

Posted on August 3, 2026

Location:

New York, NY, USA

Job Title:

Compliance Officer Salary:
$100,000 - $200,000