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Compliance Officer

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    $160,000 - $220,000

  • Contact:

    Lucy Phillips

  • Contact email:

    lucy@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0130

  • Job ref:

    PHL35910

  • Published:

    about 1 month ago

  • Expiry date:

    2024-02-15

​Our Client

A newly established and growing fund focusing on global macro strategies ($5bn+ AuM) is looking to introduce a Compliance Officer into their New York team.

This individual will report in the CCO, partnering closely with senior management on the continued build out and development of the global compliance framework.

Main Duties

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

  • Oversight of all compliance policies and procedures, implementing new complex frameworks

  • Regulatory reporting and filings (Form ADV, Form PF etc.)

  • Operate the core compliance program

  • Assist with trade & communications surveillance

  • Partner with the CCO on the development of compliance training programs

  • Assist with long/short daily filings

  • Oversee restricted list/wall crossing protocols

Your Profile

  • At least 6+ years experience working for a investment manager, fund or trading firm

  • Strong knowledge across code of ethics and core compliance

  • Trade surveillance experience

  • Detail-oriented with the ability to multitask and excellent organizational and project management skills

This is an opportunity to join an ambitious firm being led by individuals from some of the best funds, banking and trading environments globally. It promises excellent exposure and will suit an entrepreneurial and hard-working candidate who has the mindset to apply their skills across the range of advisory, assurance, policy, conduct and reporting aspects that a hedge fund is required to navigate.

Salary banding for this role is $160,000 - $220,000.

For more information about this position, please get in touch with Lucy Phillips.
Email: lucy@rutherfordsearch.com
Phone: +1 332 256 0130
ReferenceCode: 35910

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are 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.