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Anonymous | Compliance Officer

4 weeks ago

york, United States Anonymous Full time

Leading Trading Firm is looking to hire a Compliance Officer in New York City.


This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team.


The ideal candidate will have:

  • Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is required.
  • Policies & Procedures
  • Code of Ethics / Conflict of Interest
  • Marketing Review
  • Trade/Portfolio Compliance
  • Regulatory Inquiries/Affairs
  • A strong academic pedigree from a top university


The position will suit a highly motivated and entrepreneurial individual looking to work at a firm renowned for innovation and integrity.


A highly competitive compensation package is on offer.


For a discussion in confidence, please apply with your resume.