Compliance Officer, Expert Networks

Balyasny Asset Management L.P.; New York (NY); On-site; USD 115,000 - 190,000; Full time

Job summary

A leading asset management firm in New York is looking for a Compliance Officer to support compliance oversight of investment activities. The role includes reviewing expert network requests, conducting training, and ensuring regulatory compliance across departments. Candidates should possess a Bachelor's degree and have 3-5 years of relevant experience in a fast-paced environment.

Qualifications

• 3-5 years of expert network experience.
• Compliance or legal experience with investment adviser or broker-dealer.
• Ability to manage multiple tasks in a high-intensity environment.

Responsibilities

• Review and approve expert network requests from investment team.
• Chaperone expert network calls and document interactions.
• Assist with regulatory filings and compliance inquiries.

Skills

Organizational skills

Research skills

Communication skills

Attention to detail

Education

Bachelor’s Degree

Job description

Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to the Senior Compliance Counsel and will work closely with both the Compliance and Legal Departments.The primary focus will be to assist the Compliance Department with reviewing and approving Expert Network Requests and providing compliance oversight to investment and non-investment staff in our US offices.

In the role of Compliance Officer, the employee will be responsible for the following :

• Review and approve expert network requests from investment team members
• Chaperone expert network calls, document and track all calls and meeting notes
• Conducting new hire and annual trainings
• Assisting the team on the Compliance Annual review process
• Review new hire exams, escalate when necessary
• Assist with e-communications review and surveillance to detect any BAM Compliance policy breaches
• Assist with preparation and completion of various regulatory filings
• Assist the Senior Compliance Counsel on data / research compliance matters
• Handling compliance inquiries and providing oversight and guidance to the investment and non-investment staff
• Assist the Compliance Department with ongoing regulatory requirements and enforcing Compliance policies
• Escalate matters to Compliance management as necessary
• Participate in ad-hoc requests as needed

EDUCATION / EXPERIENCE & QUALIFICATIONS :

• Bachelor’s Degree required
• 3-5 years of expert network experience
• Compliance or legal experience with an investment adviser or broker-dealer
• Strong organizational and research skills
• Ability to juggle multiple tasks when necessary
• Ability to work independently and excel in a high intensity environment
• High standard of professionalism in all dealings with internal staff and any external partners, clients and regulatory agencies
• Strong written and verbal communication skills
• Outstanding attention to detail

With respect to NY- and CA-based applicants, the starting base pay range for this role is between $115000 and $190000 annually. The actual base pay is dependent upon several factors, including, but not limited to, relevant experience, business needs and market demands. This role may also be eligible for bonus compensation and employee benefits.