Compliance Officer, Finance & Banking

Compliance Officer – Career Launch AI Talent Network

Location: New York, NY

Estimated Compensation: $140,000 – $185,000 total annual compensation (varies by employer)

This job description represents a sample Compliance Officer position commonly found through the Career Launch AI Talent Network. It is intended to help job seekers understand the responsibilities and qualifications typically associated with compliance, regulatory oversight, and risk management roles within financial services, trading, and investment management.

Actual openings may vary depending on the employer’s regulatory requirements, asset class focus, and operational scale.

For more information on the Career Launch AI Talent Network, visit: https://(Use the "Apply for this Job" box below)./

The Compliance Officer is responsible for ensuring that the firm, its employees, and its investment activities operate in accordance with internal policies, legal standards, and regulatory requirements. The role involves monitoring trading, investment operations, and reporting to identify and mitigate compliance risks.

Compliance Officers work closely with legal teams, operations, portfolio managers, and risk management professionals to implement and maintain effective compliance programs.

• Monitor and review trading, investment, and operational activities for compliance with regulatory requirements and internal policies
• Develop, implement, and maintain compliance policies and procedures
• Conduct regular risk assessments and identify potential compliance issues
• Maintain records of compliance reviews, investigations, and reports
• Support audits and examinations by internal or external regulators
• Provide compliance guidance and training to staff on regulatory obligations and ethical standards
• Review marketing materials, investor communications, and fund documents for regulatory adherence
• Track and report breaches, escalations, and remediation actions to senior management
• Assist with ad-hoc compliance and regulatory projects

• Bachelor’s degree in Finance, Law, Accounting, Business, or a related field; advanced degrees or certifications (e.g., CAMS, CRCM) a plus
• Strong knowledge of financial regulations (SEC, FINRA, CFTC, or equivalent) and industry best practices
• Experience in compliance, risk management, or audit within financial services or investment management
• Analytical skills with strong attention to detail and ability to identify compliance risks
• Proficiency in Excel and familiarity with compliance software and reporting tools
• Excellent written and verbal communication skills
• Ability to work effectively in a fast-paced, highly regulated environment

The Career Launch AI Talent Network helps professionals pursue opportunities similar to this role through:

• Skills-based role matching for compliance, regulatory, and risk positions
• Resume and profile optimization for compliance careers
• Guidance on outreach to compliance teams, legal departments, and hiring managers
• Interview preparation for compliance, regulatory, and risk assessments

To learn more or express interest in compliance and regulatory roles, visit: https:///