Compliance Officer

Career Launch AI; New York (NY); On-site; USD 140,000 - 185,000; Full time

Job summary

A financial services firm is looking for a Compliance Officer in New York City. The role focuses on overseeing trading and investment operations to ensure compliance with regulations. Candidates should have a Bachelor's degree in Finance or related fields, strong knowledge of financial regulations, and experience in compliance or audit roles. This position offers a competitive salary ranging from $140,000 to $185,000 annually, with opportunities for professional growth and development within the firm.

Qualifications

• Bachelor's degree; advanced degrees or certifications like CAMS, CRCM preferred.
• Experience in compliance or audit in financial services is a plus.
• Ability to identify compliance risks and work in regulated environments.

Responsibilities

• Monitor trading and investment activities for compliance.
• Develop and maintain compliance policies and procedures.
• Conduct regular risk assessments and support audits.

Skills

Strong knowledge of financial regulations

Analytical skills

Excellent written and verbal communication skills

Proficiency in Excel

Education

Bachelor’s degree in Finance, Law, Accounting, Business, or a related field

Tools

Compliance software

Job description

Compliance Officer – Career Launch AI Talent Network

Location: New York, NY

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

About This Posting

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://www.careerlaunch.ai/

Position Overview

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.

Key Responsibilities

• 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

Preferred Qualifications

• 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

About the Career Launch AI Talent Network

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://www.careerlaunch.ai/