Compliance Officer

Compliance Officer – Career Launch AI Talent NetworkLocation: New York, NYEmployment TypeFull-Time Part-Time Contract Temporary Internship CasualEstimated Compensation$140,000 – $185,000 total annual compensation (varies by employer)About This PostingThis 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/Position OverviewThe 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.Key ResponsibilitiesMonitor and review trading, investment, and operational activities for compliance with regulatory requirements and internal policiesDevelop, implement, and maintain compliance policies and proceduresConduct regular risk assessments and identify potential compliance issuesMaintain records of compliance reviews, investigations, and reportsSupport audits and examinations by internal or external regulatorsProvide compliance guidance and training to staff on regulatory obligations and ethical standardsReview marketing materials, investor communications, and fund documents for regulatory adherenceTrack and report breaches, escalations, and remediation actions to senior managementAssist with ad-hoc compliance and regulatory projectsPreferred QualificationsBachelor’s degree in Finance, Law, Accounting, Business, or a related field; advanced degrees or certifications (e.g., CAMS, CRCM) a plusStrong knowledge of financial regulations (SEC, FINRA, CFTC, or equivalent) and industry best practicesExperience in compliance, risk management, or audit within financial services or investment managementAnalytical skills with strong attention to detail and ability to identify compliance risksProficiency in Excel and familiarity with compliance software and reporting toolsExcellent written and verbal communication skillsAbility to work effectively in a fast-paced, highly regulated environmentAbout The Career Launch AI Talent NetworkThe Career Launch AI Talent Network helps professionals pursue opportunities similar to this role through:Skills-based role matching for compliance, regulatory, and risk positionsResume and profile optimization for compliance careersGuidance on outreach to compliance teams, legal departments, and hiring managersInterview preparation for compliance, regulatory, and risk assessmentsTo learn more or express interest in compliance and regulatory roles, visit:https://www.careerlaunch.ai/