Senior Compliance Officer

Senior Compliance Officer/Deputy CCO to become CCO (New York, NY): Our client, a growing hedge fund focused looking to hire a Senior Compliance Officer or Deputy CCO. This individual will work closely with senior leadership and take on broad responsibility across the compliance program in a lean, collaborative environment. The role is highly visible and offers a clear path to step into the CCO position over the next 1–2 years. It is ideal for someone who enjoys being a true generalist while maintaining a strong focus on trading-related compliance.

Key points:

• Clear path to CCO over the next 1-2 years
• Broad generalist role with real exposure to trading-heavy compliance issues
• Newly created seat driven by firm growth and investor demand
• Lean, entrepreneurial environment with direct access to senior leadership
• Compensation: up to 500k all in, depending on experience
• WFH policy: 4 days in the office

Key Responsibilities:

• Support the CCO in overseeing and enhancing the firm’s compliance program
• Monitor trading activity and advise on trading-related compliance issues
• Maintain and administer the restricted list, watch list, and MNPI controls
• Review potential MNPI issues and help manage information barriers
• Oversee expert network usage, approvals, documentation, and related controls
• Partner with investment professionals on real-time compliance questions
• Review marketing materials, investor communications, pitch books, DDQs, and other external materials
• Assist with regulatory filings and ongoing reporting obligations
• Administer the Code of Ethics, including personal trading, gifts and entertainment, political contributions, outside business activities, and certifications
• Conduct employee training and help reinforce compliance policies across the firm
• Assist with annual compliance reviews, testing, risk assessments, and policy updates
• Support preparation for SEC exams, investor diligence requests, and internal audits
• Help maintain written policies and procedures tailored to the firm’s trading strategy and business model
• Work with operations, finance, investor relations, and the investment team on cross-functional compliance matters
• Identify process improvements and help build a scalable compliance infrastructure as the firm grows
• Serve as a senior compliance resource and potential successor to the CCO over time

Qualifications:

• 5–10 years of compliance experience within a hedge fund, asset manager, or trading environment
• Strong knowledge of trading compliance, including MNPI, restricted lists, and information barriers
• Experience supporting or interacting with active trading desks
• Familiarity with expert network compliance and related risk areas
• Exposure to marketing review, Code of Ethics administration, and regulatory filings
• Experience supporting SEC exams, annual reviews, and compliance testing
• Comfortable operating in a lean, hands-on environment with broad responsibilities
• Strong judgment, communication skills, and ability to work directly with senior investment professionals