Senior Compliance Officer

Rutherford; United States; On-site; USD 200,000 - 275,000; Full time

Job summary

A leading multi-strategy hedge fund in the United States is seeking a Senior Compliance Officer to provide regulatory advisory support to its equities trading teams. The role requires 8+ years of compliance experience, particularly in long/short strategies. Candidates should have a strong understanding of U.S. trading regulations and excellent communication skills. This is a full-time position offering competitive compensation in a fast-paced environment.

Qualifications

• 8+ years of experience in compliance roles at hedge funds or asset managers.
• In-depth understanding of U.S. equities market structure and trading rules.
• Prior experience with high-volume trading environments.

Responsibilities

• Act as primary compliance advisor for equities investment teams.
• Provide guidance on equities trading regulations.
• Conduct pre- and post-trade surveillance.

Skills

Regulatory compliance

Analytical skills

Communication skills

Relationship management

Integrity and professional judgment

Education

Bachelor's degree

JD, MBA, or advanced degree

Tools

Surveillance technology

Compliance tools

Job description

This range is provided by Rutherford. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base Pay Range

$200,000.00/yr – $275,000.00/yr

Senior Compliance Officer

A leading U.S. multi‑strategy hedge fund is seeking a Senior Compliance Officer with deep expertise in equities trading compliance, particularly long/short strategies. This role is a key part of the firm’s global compliance function, providing high‑touch advisory support to equity portfolio managers, traders, and investment professionals across multiple pods and business lines.

The successful candidate will operate as a trusted partner to the investment teams, combining regulatory rigor with commercial judgment to uphold the firm’s best‑in‑class compliance culture.

Key Responsibilities

• Act as the primary compliance advisor for the firm’s equities long/short investment teams, supporting a broad range of U.S. and global trading activities.
• Provide expert guidance on equities trading regulations, including Reg NMS, Reg SHO, Market Access Rule, trade reporting, and best execution obligations.
• Advise investment teams on MNPI controls, restricted list management, and the appropriate handling of material non-public information.
• Conduct pre‑ and post‑trade surveillance using automated systems to detect and address potential market abuse, insider trading, or manipulation risks.
• Review new trading strategies, instruments, and markets to assess compliance implications and ensure control frameworks are updated accordingly.
• Lead or contribute to regulatory filings (Form 13F, Form PF, Form ADV) and periodic reviews in coordination with operations and legal teams.
• Partner with compliance technology and data teams to enhance surveillance systems and automation across equities platforms.
• Develop and deliver training and communications to front‑office staff on key compliance topics and regulatory developments.
• Liaise with U.S. and international regulators (SEC, FINRA, FCA, etc.) as required, and assist in internal and external audits or examinations.
• Collaborate with peers across asset classes and geographies to maintain a global, consistent compliance framework.

Qualifications

• Bachelor’s degree required; JD, MBA, or advanced degree strongly preferred.
• 8+ years of experience in a compliance advisory role at a large hedge fund, asset manager, or broker‑dealer, ideally supporting long/short equities strategies.
• In‑depth understanding of U.S. equities market structure, trading rules, and hedge fund operations.
• Prior experience engaging with multi‑manager platforms or high‑volume trading environments preferred.
• Strong analytical mindset with familiarity in surveillance technology and data‑driven compliance tools.
• Exceptional communication and relationship management skills, with the ability to influence and advise senior investment staff.
• High degree of integrity, discretion, and professional judgment.

Seniority Level

Mid‑Senior level

Employment Type

Full‑time

Job Function

Legal

Industries

Investment Management, Financial Services, and Investment Banking