Location: New York, NY
Employment Type:
Full-Time · Part-Time · Contract · Temporary · Internship · Casual
Estimated Compensation:
$140,000 – $185,000 total annual compensation (varies by employer)
This job description represents a sample Compliance Officer position commonly found through the Career Launch AI Talent Network. It is intended to help job seekers understand the responsibilities and qualifications typically associated with compliance, regulatory oversight, and risk management roles within financial services, trading, and investment management.
Actual openings may vary depending on the employer’s regulatory requirements, asset class focus, and operational scale.
For more information on the Career Launch AI Talent Network, visit:
https://www.careerlaunch.ai/
The Compliance Officer is responsible for ensuring that the firm, its employees, and its investment activities operate in accordance with internal policies, legal standards, and regulatory requirements. The role involves monitoring trading, investment operations, and reporting to identify and mitigate compliance risks.
Compliance Officers work closely with legal teams, operations, portfolio managers, and risk management professionals to implement and maintain effective compliance programs.
Monitor and review trading, investment, and operational activities for compliance with regulatory requirements and internal policies
Develop, implement, and maintain compliance policies and procedures
Conduct regular risk assessments and identify potential compliance issues
Maintain records of compliance reviews, investigations, and reports
Support audits and examinations by internal or external regulators
Provide compliance guidance and training to staff on regulatory obligations and ethical standards
Review marketing materials, investor communications, and fund documents for regulatory adherence
Track and report breaches, escalations, and remediation actions to senior management
Assist with ad-hoc compliance and regulatory projects
Bachelor’s degree in Finance, Law, Accounting, Business, or a related field; advanced degrees or certifications (e.g., CAMS, CRCM) a plus
Strong knowledge of financial regulations (SEC, FINRA, CFTC, or equivalent) and industry best practices
Experience in compliance, risk management, or audit within financial services or investment management
Analytical skills with strong attention to detail and ability to identify compliance risks
Proficiency in Excel and familiarity with compliance software and reporting tools
Excellent written and verbal communication skills
Ability to work effectively in a fast-paced, highly regulated environment
The Career Launch AI Talent Network helps professionals pursue opportunities similar to this role through:
Skills-based role matching for compliance, regulatory, and risk positions
Resume and profile optimization for compliance careers
Guidance on outreach to compliance teams, legal departments, and hiring managers
Interview preparation for compliance, regulatory, and risk assessments
To learn more or express interest in compliance and regulatory roles, visit:
https://www.careerlaunch.ai/