More jobs:
Compliance Officer, Finance & Banking
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-30
Listing for:
Trevose Partners
Full Time
position Listed on 2026-01-30
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
A global investment management firm is seeking a Compliance Officer to join its team in New York. This position reports into senior compliance leadership and works closely with both Compliance and Legal.
Key Responsibilities- Assist with electronic communications reviews to help identify potential policy concerns
- Review and assess subject matter expert meeting requests
- Provide day to day compliance guidance and support to investment and non investment staff
- Support onboarding by reviewing new hire exams and assisting with compliance training
- Chaperone calls when required and maintain accurate notes and documentation
- Contribute to regulatory filings and annual compliance program reviews
- Partner with senior compliance leadership on data and research related compliance matters
- Escalate issues as needed and assist with ad hoc compliance projects
- 2+ years of compliance or legal experience within an Investment Adviser
- High attention to detail and a strong sense of accountability
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