What are the responsibilities and job description for the Compliance Officer position at Rutherford?
Rutherford is partnered with a large private credit fund in New York that is looking for a Compliance Officer in the team. This is a role focused heavily on provide regulatory support and advice to the various investment teams.
Key Responsibilities
- Provide day-to-day compliance advisory on relevant U.S. regulatory requirements (e.g., SEC, FINRA, CFTC/NFA, OFAC, AML/BSA), aligned to the firm’s activities.
- Advise on the identification, handling, and escalation of MNPI, including oversight of wall-crossing procedures, information barriers, and restricted/watch lists, and support surveillance/escalation around potential misuse.
- Support the development, implementation, and enhancement of compliance policies and procedures.
- Assist with regulatory filings, exams, audits, and responses to information requests.
- Review/approve marketing materials and investor communications as required.
- Support compliance training and promote regulatory awareness across the business.
- Track emerging regulatory developments and assess business impact.
- Contribute to compliance risk assessments, annual planning, and management reporting.
Requirements:
- 3–7 years of compliance experience within a leading private credit, private fund, broker-dealer or investment management.
- Strong knowledge of U.S. compliance frameworks and regulatory expectations.
- Experience in compliance advisory, monitoring/testing, or regulatory examinations.
Salary : $160,000 - $220,000