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Compliance Officer

  • Location:

    New York

  • Sector:


  • Job type:


  • Contact:

    Jackson Baker

  • Contact email:

  • Contact phone:

    +1 (332) 256-0135

  • Job ref:


  • Published:

    27 days ago

  • Expiry date:


​​Our Client

An exciting multi-strategy investment firm - with a focus on digital assets - is currently looking for a Compliance Officer in New York.

The firm has several business lines including market making, venture capital and active asset management. This role will report into the Chief Compliance Officer who is also based in New York and work on global compliance matters.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Coordinating the onboarding and customization of trade surveillance system and assisting with customizing flagging rules

  • Conducting market activity initial screening globally

  • Coordinating and conducting other data related periodic reviews

  • Creation and maintenance of policy and procedures repository

  • Coordinating policy updates

  • Coordinating procedures for policy distribution to employees and recordkeeping

  • Providing assistance with the coordination of periodic regulatory filings and material updates

  • Providing ongoing assistance with exams, inquiries and information coordination

Your Profile

  • 5+ years of experience in a compliance function for a broker-dealer, investment adviser or other regulated entity

  • Sound understanding of and experience with securities laws in relation to investment advisers and/or broker dealers

  • Proven ability to analyze compliance and business risks as well as implementing solutions to address such risks

For more information about this position, please get in touch with Jackson Baker.
Phone: +1 (332) 256-0135
Reference Code: 11544

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area. ​