More jobs:
Senior Compliance Officer
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-02-08
Listing for:
Barclay Simpson
Full Time
position Listed on 2026-02-08
Job specializations:
-
Law/Legal
Regulatory Compliance Specialist -
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Overview
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.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×