Compliance Officer

Capital Fund management

New York, NY

Apply

JOB DETAILS

SALARY

$120,000–$220,000 Per Year

SKILLS

Analysis Skills, Asset Management, Business Development, Business Law, Business Support, Diversity, Documentation, Finance, Follow Through, Global Financial Markets, Information Technology & Information Systems, Investment Management, Investment Services, Investment Strategy, Legal, LinkedIn, Maintain Compliance, Marketing, Monitor Regulations, Regulations, Regulatory Compliance, Stock Market, Strategic Planning, Team Player, Technical Research, Time Management

LOCATION

New York, NY

POSTED

2 days ago

ABOUT CFM

Founded in 1991, we are a global quantitative and systematic asset management firm applying a scientific approach to finance to develop alternative investment strategies that create value for our clients.

We value innovation, dedication, collaboration and the ability to make an impact and together we create an environment for talented and passionate experts in research, technology and business to explore new ideas and challenge assumptions.

ABOUT THE ROLE

The CFM Legal & Compliance team supports a broad range of business activities across global financial markets and works closely with teams on practical, day-to-day regulatory and compliance matters. We are looking for a Compliance Officer to support our North American activities in a role that combines local responsibility with close alignment to the Group Compliance function.

Reporting directly to the Group Head of Regulatory at our headquarters in Paris, the successful candidate will serve as a key compliance contact for North American activities, with responsibility for the day-to-day execution of the local compliance programme. The role is primarily focused on hands-on delivery, responsiveness, and day-to-day support for the US business, ensuring that local compliance needs are addressed accurately and in a timely manner.

This role would suit a compliance professional who is comfortable working independently, partnering with the business, and taking ownership of a wide range of day-to-day compliance matters.

KEY RESPONSIBILITIES:

Act as a primary compliance contact for the local US office, ensuring timely and pragmatic support of business matters and requests,

Work closely with the business development team on new initiatives, including reviewing marketing documentation,
Run local compliance processes, including internal registers, books and records, and periodic reviews,
Assist with administering and monitoring compliance with the firm's Code of Ethics, including personal account dealing and related staff obligations,
Support the rollout of compliance training and coordinate with US-based stakeholders to ensure timely completion,
Escalate issues, breaches, and exceptions where appropriate and follow through on remediation actions,
Monitor relevant regulatory developments, including through industry sources and events where appropriate, and share key updates with the Group Head of Regulatory. Participate in legal analysis and assist in implementation.

SKILLSET REQUIREMENTS/QUALIFICATIONS

You have a master's degree in business, law or engineering from a highly regarded institution,
You have 5-7 years of experience in compliance within an asset manager, investment firm, or similar regulated financial institution,
You are practical, execution-oriented, and comfortable handling a wide range of recurring compliance tasks with accuracy and reliability,
You are able to operate with a high degree of ownership and autonomy while remaining closely aligned with group-level oversight,
You are confident interacting with business teams and can provide clear, pragmatic compliance guidance both verbally and in writing,
You have a good understanding of the regulatory framework applicable to US asset managers and investment advisers, as well as of financial markets and financial products,
You are comfortable using IT systems to support efficient execution and oversight.

Base salary 120 -220K USD depending on experience

+ variable compensation

+ competitive benefits package

EQUAL OPPORTUNITIES STATEMENT

We are continuously striving to be an equal opportunity employer and we prohibit any discrimination based on sex, disability, origin, sexual orientation, gender identity, age, race, or religion. We believe that our diversity, breadth of experience, and multiple points of view are among the leading factors in our success.

CFM is a signatory of the Women Empowerment Principles

FOLLOW US

Follow us on Twitter and LinkedIn or visit our website to find out more about CFM.

Compliance Officer

Capital Fund management

New York, NY

About the Company

Capital Fund management

Similar Job Searches