Compliance Officer, Family Office

Larson Maddox; Hartford (CT); On-site; USD 130,000 - 160,000; Full time

Job summary

A global investment organization seeks a Compliance Officer to build a comprehensive compliance framework for trading activities across multiple jurisdictions including the U.S. and Singapore. This high-visibility role requires 10+ years in trading compliance, strong regulatory expertise, and exceptional detail orientation. Responsibilities include policy ownership, risk assessments, and establishing a tech-enabled compliance culture. The ideal candidate is a self-starter with strong communication skills, capable of working independently in a fast-paced environment.

Qualifications

• 10+ years in markets/trading compliance within a lean or buildout environment.
• Strong U.S. regulatory expertise (SEC/CFTC/NFA/exchange rules) + exposure to Singapore/MAS.
• Proven ability to design and implement compliance processes and documentation systems.

Responsibilities

• Build a comprehensive compliance framework for trading activities.
• Establish governance across trading, regulatory, and operational compliance.
• Ensure audit-ready documentation and manage risk inquiries.

Skills

Attention to detail

Communication skills

Stakeholder management

Self-starter

Tech-enabled efficiency

Job description

The Compliance Officer role centers on building a comprehensive, multi‑jurisdictional compliance framework for a growing, globally active investment organization. This position consolidates existing policies, creates scalable processes, and establishes a strong governance foundation spanning trading, regulatory, operational, and enterprise‑level compliance domains. The role requires someone who is detail‑oriented, pragmatic, technologically forward, and highly capable of partnering across functions in a fast‑moving environment. As an early member of the compliance function, you will operate as an individual contributor while collaborating closely with Legal, Security, Investments, Operations, and other teams to shape a resilient compliance program.

A major focus of this position is standing up a full trading‑compliance program for new proprietary trading activity across the U.S., Singapore, and UAE, including designing controls, drafting policies, monitoring risks, managing inquiries, and ensuring audit‑ready documentation. Additional responsibilities span policy ownership, regulatory monitoring, annual risk assessments, surveillance oversight, training programs, reporting, incident response, and cross‑functional alignment. This is a high‑visibility role offering broad influence over the organization's compliance culture, processes, and long‑term infrastructure.

Required Qualifications

• 10+ years in markets/trading compliance within a lean or buildout environment
• Strong U.S. regulatory expertise (SEC/CFTC/NFA/exchange rules) + exposure to Singapore/MAS; comfort with ADGM/FSRA
• Knowledge of equities, futures, FX, and derivatives; experience with surveillance, MNPI controls, and recordkeeping
• Proven ability to design and implement compliance processes and documentation systems
• Strong interest in tech‑enabled efficiency
• Deep understanding of regulatory frameworks
• Exceptional attention to detail and organizational skills
• Excellent communication and stakeholder‑management capabilities
• Self‑starter able to work independently and multitask