Compliance Officer - Regulatory Affairs


Financial Services


New York, New York

Employment Type



Premier Private Credit/Private Equity Firm with a New York based Compliance Team is hiring a Regulatory Affairs Compliance Officer. This person will focus on regulatory management, risk assessment, testing and monitoring, and surveillance, including policies, procedures, and compliance programs.

Compensation : $130000 - $175000
Job ID : 29813

Job Function:

  • Assist firm Regulatory Counsel on US (domestic) regulatory examinations and inquiries,  
  • Field and clarify regulatory requests to ensure timely and accurate responses.  
  • Assist with SEC Exam preparedness and management.
  • Monitor, analyze and interpret new rules and regulations, including identifying and addressing gaps between existing processes and new regulatory requirements, and participating in relevant regulatory/industry initiatives.
  • Coordinate with in-house and external counsel to monitor, and then implement responses to regulatory developments that impact the businesses, including the drafting of internal regulatory alerts for senior management review.
  • Draft and revise policies and procedures and advisory bulletins to support the Compliance program, including Compliance Manuals.
  • Provide business focused compliance training regarding regulations and firm policies.
  • Coordinate with colleagues in Legal/Compliance and other control groups on initiatives including surveillance, risks assessments, testing and audits.
  • Support testing initiatives with regards to the design and implementation of Annual Compliance Testing and Monitoring Program under Rule 206(4)-7, including drafting of the Annual Compliance Office Report and identifying compliance issues that require further investigation.

Job Requirements:

  • Minimum of five to seven years of relevant work experience in an investment management firm.  
  • J.D. preferred.
  • Familiar with and analyzing regulatory changes, regulatory filings and change management, and testing and risk assessments.  
  • Excellent interpersonal skills and the ability to build strong professional relationships at all levels, with both internal and external parties.
  • Maturity, presence, sound judgment, and ability to form and express opinions effectively to cross-divisional teams including senior management and senior stakeholders.
  • Self-starter with strong presentation, verbal and written communication skills.
  • Ability to independently manage multiple projects in a collaborative manner with multiple stakeholders through to completion in a dynamic and changing environment.
  • Accountable, with a strong sense of professionalism and integrity.
  • Highly organized, efficient and able to work to tight deadlines in a high-pressure environment.
Disclosure: The hourly rates and/or salaries listed may or may not reflect total compensation packages including bonus and fringe benefits, etc., nor are the advertisement(s) posted a guarantee of a certain compensation package for a position or bona fide offer of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.