Compliance Officer

Ivy Way Placements; United States; On-site; USD 85,000 - 110,000; Full time

Job summary

Ivy Way Placements supports its Compliance, Risk and Legal teams by providing expert guidance on regulatory matters and risk assessment. The role involves analyzing policies, improving governance, and ensuring adherence to state and federal laws across business units.

The ideal candidate brings 3+ years in compliance or internal audit, with strong analytical skills, confidentiality, and the ability to communicate complex topics to diverse stakeholders.

Qualifications

• Minimum 3 years of compliance, risk, or internal audit experience.
• Experience in asset management, broker-dealer, or private fund preferred.
• High ethical standards with ability to maintain confidentiality.
• Strong analytical and multitasking abilities in a fast-paced environment.
• Ability to articulate complex concepts to a diverse audience.

Responsibilities

• Support Compliance, Risk and Legal on projects, assessments and regulatory matters.
• Evaluate internal policies to ensure compliance with laws and regulations across business units.
• Assist in revision and dissemination of new compliance or risk initiatives.
• Provide training and guidance to internal/external Firm partners on risk matters.
• Maintain the firm’s compliance and reporting systems, assist with vendor certifications and governance.
• Support special projects as needed.

Skills

Compliance experience

Risk management

Internal audit

Regulatory knowledge

Attention to detail

Analytical thinking

Communication

Teamwork

Education

Advanced degree preferred

FINRA licensing preferred

Job description

Ivy Way Placements offers acomprehensive suite of services tailored to meet the needs of both job seekersand employers. Our primary services include:

• Talent Acquisition: Connecting highlyskilled finance professionals with leading firms.
• Career Coaching: Assisting candidates innavigating their career paths within the finance industry.
• Client Consulting: Advising companies onbest practices for recruitment and talent retention.
• Wealth Management Guidance: Providingexpertise in financial planning for both individual clients and corporateentities.

Job Description

Meeting challenges head-on with the highest level of integrity and effort is a shared trait within the Compliance and Risk teams and is expected of all team members. These personality traits are particularly important due to the critical nature and sensitivity of the department.

• Support our Compliance, Risk and Legal department as it relates to projects, assessments and areas requiring subject matter expertise such as interpreting regulatory compliance statutes and analyzing their impact on business practices
• Evaluate and challenge internal policies, procedures and practices to ensure appropriate execution of initiatives within and across business verticals and identified areas of risk to ensure compliance with the latest federal and state laws and regulations
• Support the revision and preparation of new and updated Compliance or Risk initiatives and assist in their dissemination and implementation
• Provide guidance and create training initiatives for internal and/or external Firm partners regarding their role in mitigating Compliance, Risk and Legal issues
• Maintain the firm’s compliance and reporting system, evaluate business activities, review website and new product offerings, manage vendor certifications, assist with RFPs/DDQs, various support to mutual funds and corporate governance
• Additional support on special projects and other tasks as deemed necessary

Requirements

Minimum 3-years of relevant compliance, risk or internal audit experience with working knowledge of legal documents and contracts

• Experience in investment (asset management, broker-dealer or private fund), risk or legal industries preferred
• FINRA securities licensing and legal or advanced degree preferred
• High ethical standards and ability to maintain confidentiality
• Keen attention to detail and accuracy with accountability, intuition, confidence and initiative
• High-level of analytical and critical thinking abilities, including ability to multi-task and remain organized and focused in a fast-paced environment
• Team-oriented with effective interpersonal skills including ability to articulate complex thoughts to a diverse audience of
• Professional appearance and demeanor

A competitive salary and excellent benefit package with a culture of teamwork and recognition.