Compliance Officer

2 weeks ago

New York, United States Schonfeld Full time
The Role
We are seeking to hire an exceptional Compliance Officer to join our compliance team in our New York City office. The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The position is responsible for managing the process by which key compliance risks are periodically identified and evaluated across business lines. The results of the risk assessments are used to drive the planning of the Compliance program and development of policies, procedures, and control enhancement initiatives to manage compliance risk throughout the organization. This will include the management of regulatory exams and inspections. The Compliance officer will also manage and lead a small team that will also cover compliance related due diligence activities and investor related workstreams. The ideal candidate will be highly self-motivated, organized, and attentive to detail. You should be capable of managing a diverse workload and prioritizing tasks in a fast-paced corporate environment. This position requires flexibility to support the wider compliance department with activities outside of the listed responsibilities.

What you'll do
  • Overseeing and executing the end-to-end process for regulatory engagements, including reviewing examination requests, advising internal stakeholders, and reviewing and obtaining approval for regulatory submissions.
  • Development and execution of Compliance review program.
  • Identifying, escalating, and developing solutions for potential regulatory risks.
  • Develop and document internal controls.
  • Build reports and dashboards off compliance risk assessments.
  • Coordinate global requirements and delivering information requested by regulators.
  • Develop, oversee, and execute compliance due diligence program.
What you'll bringWhat you need:
  • Bachelor's degree
  • 5-7 years' experience in regulatory compliance at a Hedge Fund.
  • Experience of successfully managing SEC RIA examinations, NFA examinations, or similar regulatory inspections.
  • Prior team management experience.
  • Highly self-motivated, organized, and attentive to detail.
  • Structured, methodical and consistent in execution.
  • Adaptable and open to change, a natural problem solver and lateral thinker.
  • Calm and concise communicator, collaborative and able to engage well with staff of varying roles and seniority.
  • Firm and team first in thinking.
We'd love if you had:
  • PowerPoint and other presentation materials creation skills.
  • An auditing, operational risk or similar background.


Who we areSchonfeld Strategic Advisors is a global multi-strategy, multi-manager investment platform that harnesses the transformative power of people to perform in all market environments. Our dynamic culture inspires better outcomes for our team, our investors, and our partners. We aim to consistently deliver risk-adjusted returns, with people driving performance.

We specialize in four core strategies: Quantitative Trading, Fundamental Equity, Tactical Trading, and Discretionary Macro & Fixed Income. We capitalize on inefficiencies and opportunities within the markets, drawing from a significant investment in proprietary technology, infrastructure, and risk analytics.

We invest through internal portfolio managers and external partner funds, pursuing alignment among investors, investment professionals, and the firm. Our footprint spans 7 countries and 19 offices.

Our CultureTalent is our strategy. We believe our success is because of our people, so putting our talent above all else is our top priority. We are teamwork-oriented, collaborative, and encourage ideas-at all levels-to be shared. As an organization committed to investing in our people, we provide learning & educational offerings and opportunities to make an impact.

We foster a sense of belonging among all of our employees with Diversity, Equity and Inclusion at the forefront of this mission. Our employees value diversity across identity, thought, people and perspective which serves as the foundation of our culture. As a firm, we are committed to creating a hiring process that is fair, welcoming and supportive.

The base pay for this role is expected to be between $130,000 and $160,000. The expected base pay range is based on information at the time this post was generated. This role may also be eligible for other forms of compensation such as a performance bonus and a competitive benefits package. Actual compensation for the successful candidate will be determined based on a variety of factors such as skills, qualifications, and experience.

#LI-MM1

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