Compliance Officer
$100,000 - $200,000
ApplyCompliance Officer
Posted 17 days ago
SENIORITY
Senior
SALARY
$100,000 - $200,000
About the role
- Coordinate monthly compliance testing activities, including documentation collection and verification of regulatory requirements
- Support annual compliance reviews, mock audits, and ongoing updates to compliance policies and procedures
- Maintain compliance manuals, codes of ethics, and regulatory materials in accordance with evolving requirements
- Deliver employee onboarding support and compliance training sessions for new hires
- Administer employee compliance processes, including personal trading reviews, certifications, and pre-clearance requests
- Monitor compliance deadlines and ensure timely completion of regulatory and internal requirements
- Assist with AML/KYC reviews, investor diligence requests, marketing material reviews, and compliance inquiries
- Collaborate with internal teams and external consultants on regulatory filings, audits, and service provider oversight
- Support corporate governance activities, including entity maintenance, renewals, structure documentation, and compliance filings
- Contribute to ESG initiatives, insurance renewals, expert network reviews, and co-investment processes
- Bachelor's degree required 2-5 years of compliance experience at an SEC-registered investment adviser or compliance consulting firm
- Exposure to PE is preferred
- Strong knowledge of the SEC regulatory framework
- Working knowledge of SEC cyber and disaster recovery best practices and various data privacyregulations
- Strong knowledge of UK FCA regulations and filings preferred
- Ability to thrive in a team environment
- Effective communication skills, both written and verbal
- Tagged as: In-Office
Before you apply
Applying takes about a minute. These four things decide how fast it moves after that.
Your profile is current
It's what we read first. Occupations, seniority and locations matter more than a long history.
Two examples you can talk through
Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.
A number in mind
What you're on now and what would make you move. We negotiate better when we know both.
Your notice period
Employers plan around it, and it's the question that stalls offers most often.
Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.
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