Impactful Compliance & Risk 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 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.