Compliance Officer

Overview

A leading international investment and technology development firm is looking to appoint an AI Attorney.

The firm seeks a proactive and detail-oriented compliance officer to join its Legal & Compliance team. This role will collaborate closely with colleagues across legal, compliance, front office and technology teams to manage regulatory risk in the context of investment transactions. This position offers significant exposure to the firm’s trading activities, regulatory frameworks, and cross-functional processes, providing an opportunity to contribute to high-impact compliance initiatives in a collegial and intellectually engaging environment.

Key Responsibilities

• Provide guidance to junior team members on identifying regulatory risk, particularly risks related to receipt of confidential information.
• Oversee the compliance process related to receipt of potentially non-public information in the transactional context.
• Provide guidance and advice to investment teams regarding application of regulatory restrictions and compliance policies in various transactional contexts.

Skills, Knowledge & Experience

• A bachelor’s degree or higher; experience managing or mentoring team members is beneficial.
• Four to eight years of experience in compliance, or a related legal or operational role within a financial services firm; experience in a control room function is particularly highly valued.
• Sound analytical skills, including comfort with numbers and data analysis.
• Excellent communication and collaboration skills, well-developed judgment and discretion, and the ability to coordinate workstreams across legal, compliance, front office, and technology teams.
• A high level of motivation, a consistent record of taking initiative, well-developed problem-solving skills, and the ability to think creatively and strategically.

Company Benefits

The expected annual base salary for this position is $140,000 to $180,000. The compensation and benefits package includes variable compensation in the form of a year-end bonus, guaranteed in the first year of hire, and benefits including medical and prescription drug coverage, 401(k) contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.