Compliance Officer

Landing Point; New York (NY); On-site; USD 180,000 - 240,000; Full time

Job summary

Landing Point seeks a Compliance Officer in New York, NY to lead the U.S. compliance program and advise investment and research teams. The role reports to senior leadership and offers broad scope to shape compliance across the firm.

You will interact with investment professionals, research teams and executives, ensuring adherence to SEC, NFA, CFTC and related rules, and contribute to governance and ethics programs while scalable for future expansion.

Qualifications

• Bachelor’s degree and strong academic record.
• 5+ years of relevant compliance experience in hedge funds, advisers, vendors or regulators.
• Knowledge of US/UK securities regulations.
• Familiarity with SEC, NFA, CFTC and exchange requirements.
• Strong organizational, analytical and critical-thinking skills.
• Proactive, detail-oriented and able to manage multiple priorities.
• Ability to work independently while collaborating across the organization.
• Strong project-management skills and discretion.

Responsibilities

• Oversee and support the firm’s U.S. compliance program.
• Provide day-to-day compliance advice to investment and research professionals.
• Participate in Rule 206(4)-7 review, forensic testing and monitoring.
• Draft, enhance and implement compliance policies and procedures.
• Support Code of Ethics: personal trading, gifts, outside activities and conflicts.
• Monitor regulatory developments and implement changes.
• Prepare and review regulatory filings (Form ADV, Form PF, 13F, 13H, etc.).
• Review marketing materials, presentations, newsletters and DDQs.
• Assist with pre- and post-trade compliance reviews and vendor due diligence.
• Investigate potential issues and assist with ad hoc matters.

Skills

Analytical skills

Organizational skills

Project management

Independent work

Collaboration

Education

Bachelor’s degree in a relevant field

Job description

Compliance Officer (New York, NY): Our client, an established institutional alternative investment manager, is looking to add a Compliance Officer to its New York team. This is a broad-based role with significant exposure across the U.S. compliance program, including direct interaction with investment professionals, research teams, and senior leadership.

Highlights

• The firm has tripled AUM over the past three years and continues to expand across new investment strategies
• Serve as the most senior compliance professional based in the New York office, with meaningful exposure to senior decision-makers
• Broad responsibility across the compliance program with significant opportunity to expand the scope of the role over time

Responsibilities

• Help oversee and support the firm’s U.S. compliance program
• Provide day-to-day compliance advice to investment and research professionals
• Participate in the annual Rule 206(4)-7 review, forensic testing and ongoing monitoring
• Draft, enhance and implement compliance policies and procedures
• Support all aspects of the Code of Ethics, including personal trading, gifts and entertainment, outside activities, conflicts and political contributions
• Monitor regulatory developments and assist with implementation of applicable changes
• Prepare and review regulatory filings, including Form ADV, Form PF, 13F, 13H, Blue Sky, NFA/CFTC and FCA-related filings
• Review marketing materials, presentations, newsletters and DDQs
• Assist with pre- and post-trade compliance reviews
• Monitor side-letter and investment-management-agreement obligations
• Support regulatory examinations, compliance training and books and records requirements
• Conduct compliance due diligence on vendors, brokers, research providers and other third parties
• Investigate and elevate potential compliance issues and assist with other ad hoc matters

Qualifications

• Bachelor’s degree with a strong academic record
• 5+ years of relevant compliance experience within a hedge fund, investment adviser, compliance consulting/vendor environment or regulatory organization
• Working knowledge of U.S. and U.K. securities regulations
• Familiarity with SEC, NFA, CFTC and relevant exchange requirements
• Strong organizational, analytical and critical-thinking skills
• Proactive, detail-oriented and comfortable managing multiple priorities
• Ability to work independently while collaborating effectively across the organization
• Strong project-management skills, professionalism and discretion