Compliance Officer – Global Head of Compliance Risk Review, Monitoring and Exams (RRME) & Due D[...]

Schonfeld; New York (NY); On-site; USD 150,000 - 180,000; Full time

Job summary

An innovative global investment platform is seeking a Compliance Officer to lead their Risk Review, Monitoring, and Exams team. This role is pivotal in managing compliance risks, supporting regulatory exams, and ensuring due diligence activities. The ideal candidate will thrive in a fast-paced environment, demonstrating strong organizational skills and a collaborative mindset. Join a diverse team that values talent and continuous learning, contributing to strategic initiatives that shape the future of compliance in the investment sector.

Qualifications

• 5-7 years of regulatory compliance experience in Hedge Funds or Registered Investment Advisers.
• Experience managing SEC RIA examinations and NFA examinations.

Responsibilities

• Oversee regulatory engagements and manage compliance review programs.
• Identify regulatory risks and develop internal controls.

Skills

Regulatory Compliance

Risk Assessment

Team Management

Communication Skills

Detail-Oriented

Education

Bachelor's Degree

Tools

PowerPoint

Job description

Compliance Officer – Global Head of Compliance Risk Review, Monitoring and Exams (RRME) & Due Diligence

Join to apply for the Compliance Officer – Global Head of Compliance Risk Review, Monitoring and Exams (RRME) & Due Diligence role at Schonfeld

Role Overview

We are seeking an exceptional Compliance Officer to join our compliance team in our New York City office. The Compliance Officer will report to the Deputy Chief Compliance Officer and lead the Risk Review, Monitoring, and Exams (RRME) team to support the global Compliance function. Responsibilities include managing the process for identifying and evaluating compliance risks, supporting regulatory exams, and managing due diligence activities. The ideal candidate is highly organized, detail-oriented, and capable of managing a diverse workload in a fast-paced environment. Flexibility to support wider compliance activities is essential.

Key Responsibilities

• Oversee regulatory engagements, review examination requests, and manage submissions.
• Identify and escalate regulatory risks, develop internal controls, and build risk assessment reports.
• Coordinate with global teams on compliance requirements and regulator requests.
• Review compliance materials and due diligence documentation.
• Develop and execute compliance review programs.
• Assist in reviewing marketing materials and managing investor relations queries.
• Collaborate with global compliance teams on strategic initiatives.
• Lead and support ad hoc projects, managing multiple priorities effectively.

Qualifications

• Bachelor’s degree.
• 5-7 years of regulatory compliance experience at a Hedge Fund or Registered Investment Adviser.
• Experience managing SEC RIA examinations, NFA examinations, or similar inspections.
• Experience reviewing marketing materials and cross-border marketing rules.
• Prior team management experience.
• Self-motivated, organized, and detail-oriented.
• Structured, process-oriented, and adaptable.
• Strong communication skills and collaborative mindset.

Preferred Skills

• Proficiency in PowerPoint and presentation creation.
• Background in auditing or operational risk.

About Schonfeld

Schonfeld is a global multi-strategy investment platform focused on delivering risk-adjusted returns through innovative strategies and technology. We value talent, collaboration, diversity, and continuous learning, fostering an inclusive culture across our offices worldwide.

Compensation

The base salary range for this role is $150,000 - $180,000, with potential bonuses and benefits. Actual compensation will depend on experience and qualifications.