Compliance Officer - Hedge Fund

Leading trading firm is seeking a Compliance Officer in New York. You’ll work closely with the CCO on code of ethics, personal trading surveillance, regulatory filings, and broker-dealer oversight. This role offers the chance to serve as a trusted advisor, providing clear guidance in a fast-paced, high-integrity environment.

• Manage employee disclosures on personal trading, outside business activities, gifts, and potential conflicts.
• Advise employees and senior leadership on ethics and compliance issues.
• Oversee personal trading surveillance and enforce Code of Ethics standards.
• Support regulatory filings (Form ADV, U4/U5, BD, NRF) and handle securities registrations.
• Conduct communications surveillance and assist with supervisory reviews and training.
• Serve as a key contact during regulatory exams, coordinating responses and tracking requests.

• Bachelor’s degree (finance, law, or related field a plus)
• 3–7 years’ experience in compliance, legal, or regulatory roles (broker-dealer, investment adviser, trading firm, etc.)
• Strong grasp of SEC/FINRA rules, especially personal trading and conduct requirements
• Sharp communicator with keen attention to detail and a team-oriented, service-driven mindset

For a discussion in confidence, please apply with your resume.