Senior Compliance Officer
blacklock groupManhattan (NY)
Senior Compliance Officer
Posted today
blacklock groupManhattan (NY)
SENIORITY
Senior
About the role
I'm working with a highly regarded Investment firm in New York that is looking to add a Senior Compliance Officer to its growing team. This is a hands-on role reporting directly into the CCO.The role will cover: Compliance monitoring, testing and surveillance Investment Advisers Act / SEC regulatory requirements Portfolio & asset management compliance Alternative investments and private/pooled investment vehicles Client and investment management agreements Code of Ethics administration Third-party sub-adviser & vendor oversight Electronic communications and social media review Policies, procedures and supervisory controls Supporting SEC examinations and the annual 206(4)-7 compliance review
Ideal background:
- Senior compliance experience within an investment adviser
- Strong Code of Ethics Experience
- Strong with AI within compliance functions
Before you apply
Applying takes about a minute. These four things decide how fast it moves after that.
Your profile is current
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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.