Head of Core Compliance

Head of Core Compliance – Lazard Location: Americas, Asset Management, New York, NY Lazard is one of the world’s preeminent financial advisory and asset management firms. Our people and culture make the difference. Although our global presence is broad, we are a close, collaborative community of just over 3,000 professionals, focused on continuous knowledge sharing, skill development, and relationship building. We help our clients invest for the future – whether for retirement, wealth preservation, or building a smarter, healthier world. The Head of Core Compliance reports directly to the Global Chief Compliance Officer and will manage the New York‑based Core Compliance team. The role is a senior position within the Legal & Compliance Department, responsible for administering the firm’s compliance program across the U.S. and other jurisdictions. Key Responsibilities Assist the Global Chief Compliance Officer in managing the firm’s regulatory compliance program, including Code of Ethics implementation, compliance manual and policy updates, forensic testing, compliance training, market abuse monitoring, the annual 206(4)-7 review, and project‑oriented work due to changing regulation or business initiatives. Serve as a resource on compliance matters such as material, non‑public information and restriction lists, personal trading, conflicts of interest, and trading practices including best execution. Advise and manage compliance subject matters including personal trading, e‑communications review, company meeting chaperoning, new hire training, and expert network reviews and approvals. Provide guidance, training, and advice on emerging regulations and enforcement actions. Manage a team of senior compliance professionals based in the U.S. and collaborate closely with global colleagues. Onboard new compliance technology solutions and explore how artificial intelligence can enhance the compliance program. Review and provide advice to the business on marketing materials, error analysis, and real‑time trading questions. Produce and manage documents for both internal and external audits, including examinations and information requests conducted by the Securities and Exchange Commission, FINRA, and the National Futures Association. Qualifications 7+ years’ experience in a similar compliance role for a U.S. registered investment adviser. Experience managing teams. Strong project management and communication skills; highly organized, detail‑oriented, and proactive. Ability to work in continuous collaboration with the Legal & Compliance Department and the firm’s business areas. Strong sense of ethics, accountability, and judgment. Must have, or be willing to obtain, FINRA Series 7 and 24 licenses, and potentially become Chief Compliance Officer of a limited purpose broker‑dealer. General understanding of the Investment Advisers Act, Investment Company Act, FINRA broker‑dealer rules, and CFTC/NFA regulations (a plus). Experience with equity, fixed income, and derivatives product suites. Experience in financial advisory or investment banking is a plus. We offer a competitive base salary range of approximately $175,000 – $200,000 USD, alongside a comprehensive benefits package that supports work‑life balance, professional development, and an individualized employee experience. When you work for Lazard, you will be part of an organization that cares deeply about the unique talents and passions of its employees and invests in your career growth. Does this sound like you? Apply now and we’ll be in touch on the next steps. #J-18808-Ljbffr