Compliance Officer

Oakleaf Partnership; New York (NY); On-site; USD 175,000 - 200,000; Full time

Job summary

Oakleaf Partnership is seeking an experienced Compliance Officer for its New York Legal & Compliance team. The role covers compliance testing, regulatory projects, investment adviser compliance, third-party oversight, training and reporting, with collaboration across Legal, Operations, Technology and front-office teams.

The successful candidate will gain exposure to trading activities within a sophisticated investment environment and own key areas of the program, delivering practical regulatory

Qualifications

• 7-10+ years of relevant experience in Compliance, Audit, Legal, Risk or a related function.
• Experience in financial services, investment management, asset management, hedge funds or investment adviser environments.
• Strong regulatory knowledge and ability to translate regulation into testing, controls and processes.
• Experience independently managing compliance testing, regulatory reviews or significant workstreams.
• Strong analytical capabilities with data, metrics and technology.
• Excellent written and verbal communication for senior stakeholders.
• Ability to manage multiple priorities across different business functions.

Responsibilities

• Lead and execute compliance testing, interpreting regulatory requirements, designing testing plans, reviewing and documenting findings.
• Conduct investment adviser regulatory analysis, assessing developments, policy changes and new business initiatives.
• Support and lead broader regulatory and compliance projects across the organization.
• Oversee and monitor third-party service providers against regulatory and contractual requirements.
• Prepare compliance metrics, reporting and presentations for senior stakeholders.
• Develop and deliver compliance training and materials across the business.
• Partner with Legal, Compliance, Operations, Technology and front-office teams.
• Identify opportunities to strengthen compliance processes through data and technology.

Skills

7-10+ years of experience

Regulatory knowledge

Data & technology

Communication skills

Multitasking across functions

Job description

New York City | $175,000-$200,000 Base + Bonus

We are partnering with a leading global investment management firm to appoint an experienced Compliance Officer to its New York Legal & Compliance team.

This is a broad, high-exposure opportunity for an established compliance professional looking to operate within a sophisticated investment environment. The role will work across compliance testing, regulatory projects, investment adviser compliance, third-party oversight, training and reporting, while partnering closely with Legal, Operations, Technology and investment-facing teams.

The successful candidate will gain meaningful exposure to the firm’s trading activities and regulatory framework, while taking ownership of key areas of the compliance program.

Key Responsibilities

• Lead and execute compliance testing, including interpreting regulatory requirements, designing testing plans, conducting reviews and documenting findings and recommendations.

• Conduct investment adviser regulatory analysis, assessing regulatory developments, policy changes and new business initiatives.

• Support and lead broader regulatory and compliance projects across the organization.

• Oversee and monitor third-party service providers against regulatory and contractual requirements.

• Prepare compliance metrics, reporting and presentations for senior stakeholders.

• Develop and deliver compliance training and materials across the business.

• Partner closely with Legal, Compliance, Operations, Technology and front-office teams.

• Identify opportunities to strengthen and streamline compliance processes through the effective use of data and technology.

What We're Looking For

• 7-10+ years of relevant experience within Compliance, Audit, Legal, Risk, Controls or a closely related function.

• Strong preference for candidates with experience within financial services, investment management, asset management, hedge funds or an investment adviser environment.

• Strong knowledge of regulatory requirements and the ability to translate regulation into practical testing, controls and processes.

• Experience independently managing compliance testing, regulatory reviews or significant compliance workstreams.

• Strong analytical capabilities and confidence working with data, metrics and technology.

• Excellent written and verbal communication skills, including the ability to prepare and present materials to senior stakeholders.

• Ability to manage multiple priorities and coordinate effectively across different business functions.

• Strong judgment, attention to detail and discretion.

• A proactive and intellectually curious approach, with the ability to identify problems and take ownership of solutions.

Compensation

Base Salary: $175,000-$200,000

The position also offers year-end variable compensation alongside a comprehensive benefits package.

Why Consider This Opportunity?

This is an opportunity to join a highly regarded global investment platform and work within a sophisticated, collaborative compliance environment.

The position provides a combination of regulatory analysis, compliance testing, trading exposure, data-driven work and cross-functional problem solving, making it particularly attractive to someone looking for a broader remit than a traditional compliance monitoring role.

You’ll have visibility across the organization, exposure to senior stakeholders and the opportunity to take meaningful ownership of key areas of the firm’s compliance program.