Compliance Officer (Bachelor’s degree with 4 years of experience required)

  • Competitive
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • Non-disclosed
  • 06 Mar 18 2018-03-06

An alternative credit asset management firm based in NYC is seeking a mid-level Compliance Officer to help the firm to maintain and further develop its compliance program. The firm is registered with the SEC as Investment Adviser and with the NFA/CFTC as CPO, and it manages CLOs, hedge funds and separately managed accounts for an institutional client base.

 An individual who has been working for four+ years in a regulatory compliance related role with exposure to the Investment Advisers Act and SEC/NFA regulations is an ideal candidate.

The individual will work closely with the firm’s Chief Compliance Officer and will focus on further developing the firm’s compliance program, e.g. by maintaining and enhancing the firm’s policies & procedures including its Code of Ethics, conducting testing of such, reviewing marketing and by handling periodic SEC/NFA regulatory filings. The person will be the liaison to the firm’s external compliance consultants on these topics and will attend compliance related industry conferences.

Knowledge of the Investment Advisers Act and related rules is required, and prior experience with compliance related topics regarding to hedge funds, CLOs, US leverage loans, credit derivative products and general U.S. asset management is preferred.

The ideal candidate will be someone who is self-motivated, learns quickly, and enjoys working in a small and fast-paced environment, with excellent writing and communication skills.


  • Bachelor's degree
  • 4+ years' experience in financial services, compliance, or legal
  • Knowledge of the Investment Advisers Act, SEC regulations and NFA Bylaws
  • Excellent writing and communication skills