Compliance Officer, Lead Expert Networks

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

Job summary

An established industry player is seeking a skilled Compliance Officer to lead its expert networks team in New York. This role involves managing compliance oversight, leading the expert network review process, and ensuring adherence to regulatory requirements. The ideal candidate will have a Bachelor's degree and 5-8 years of compliance experience, showcasing strong organizational and communication skills. Join a dynamic environment where your expertise will contribute to the compliance framework of a leading investment firm, ensuring high standards of professionalism and attention to detail.

Qualifications

• 5-8+ years of Compliance experience required.
• Strong organizational and research skills are essential.
• Ability to juggle multiple tasks in a high-intensity environment.

Responsibilities

• Lead the expert networks team and manage requests.
• Review and approve expert network requests from investment teams.
• Conduct compliance trainings and assist in regulatory requirements.

Skills

Compliance experience

Organizational skills

Research skills

Communication skills

Attention to detail

Education

Bachelor’s Degree

Job description

Compliance Officer, Lead Expert Networks

New York

Posted 104 Days Ago

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 leading the expert network review process and providing compliance oversight to investment and non-investment staff in our US offices.

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

• Serve as a lead of the expert networks team, managing requests, and analyzing of information
• Reviewing and approving expert network requests from investment team members
• Chaperone expert network calls, documenting and tracking all calls and meeting notes
• Analyzing material non-public information and carrying out vetting procedures
• Working closely with expert network vendors
• Updating Compliance policies and procedures in regard to expert network policies
• Conducting new hire and annual compliance trainings
• 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
• Assisting the team on the Compliance Annual review process
• 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
• 5-8+ years of Compliance experience
• Experience with managing process, workflow, etc.
• 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, CA, and IL 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.