Compliance Officer

Larson Maddox; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Larson Maddox seeks a Compliance Officer for an investment management firm in New York City. This role supports regulatory, marketing, and advisory compliance initiatives and partners with business leaders on fundraising activities, product development, and firm-wide regulatory matters.

Onsite five days a week in NYC. You will review materials, support regulatory filings, draft policies, and monitor developments to implement practical compliance solutions while coordinating with legal,

Qualifications

• 5+ years of compliance experience within investment management, private funds, alternatives, or financial services.
• Strong understanding of SEC-regulated environments and investment adviser compliance.
• Experience supporting fundraising, investor communications, and regulatory filings.
• JD, MBA, or relevant credentials are a plus.

Responsibilities

• Provide compliance guidance to investor-facing and business development teams.
• Review/approve marketing materials, due diligence questionnaires, social media, and investor relations materials to ensure compliance.
• Support regulatory filings, internal controls, and compliance monitoring programs.
• Draft and enhance compliance policies, procedures, and training materials.
• Advise on new business initiatives, product launches, and strategic projects.
• Monitor regulatory developments and help implement practical compliance solutions.
• Partner with stakeholders across legal, operations, and investment teams.

Education

JD or MBA or relevant credentials

Job description

A growing investment management firm is seeking a Compliance Officer to support a broad range of regulatory, marketing, and advisory compliance initiatives. This individual will work closely with business leaders and serve as a key compliance partner on fundraising activities, product development, and firm-wide regulatory matters. This role will require 5 days onsite in NYC.

Responsibilities

• Provide compliance guidance to investor-facing and business development teams.
• Review/approve marketing materials, due diligence questionnaires, social media, and investor relations materials to ensure compliance
• Support regulatory filings, internal controls, and compliance monitoring programs.
• Draft and enhance compliance policies, procedures, and training materials.
• Advise on new business initiatives, product launches, and strategic projects.
• Monitor regulatory developments and help implement practical compliance solutions.
• Partner with stakeholders across legal, operations, and investment teams.

Qualifications

• 5+ years of compliance experience within investment management, private funds, alternatives, or financial services.
• Strong understanding of SEC-regulated environments and investment adviser compliance.
• Experience supporting fundraising, investor communications, and regulatory filings.
• Ability to manage multiple priorities in a fast-paced environment.
• JD, MBA, or relevant industry credentials are a plus.