VP Compliance Officer

# VP Compliance OfficerVP Compliance OfficerSalary$150000 - $200000LocationNew York, NY, USAContractPermanentIndustryRisk & Compliance---ContactAngela BrendzaAngela.Brendza@oliverjames.com**Senior Compliance Officer – SEC-Registered Investment Adviser**A leading **global financial institution** is seeking a **Senior Compliance Officer** to join its growing U.S. compliance team. This is a high-impact role focused on supporting the firm’s **SEC-registered investment adviser**, advising private funds and SMA businesses, and ensuring compliance with U.S. and global regulatory requirements.**Please note:** At this time, we are unable to offer visa sponsorship or H-1B transfers. Applicants must be authorized to work in the United States without the need for current or future sponsorship.### Key Responsibilities:* Advise **portfolio managers and investment teams** on ongoing compliance obligations for private funds and separately managed accounts.* Oversee and assist with **regulatory filings** including Form ADV, Form PF, and state lobbyist filings.* Manage and enhance the **Code of Ethics program**, including oversight of personal trading, outside business activities, gifts & entertainment, and political contributions.* Review and monitor **expert network requests** to mitigate MNPI risk and oversee call chaperoning.* Draft, update, and improve **policies, procedures, and internal controls**, ensuring alignment with regulatory changes and business growth.* Review **NDAs and agreements** to identify potential conflicts of interest and trading restrictions.* Monitor regulatory developments (SEC, CFTC/NFA, FINRA, FCA, etc.) and provide practical guidance to the business.* Partner with global compliance teams (including London) on regulatory reporting, trade surveillance, and monitoring.### Qualifications:* 7+ years of compliance experience within an **investment adviser, asset manager, or private funds environment**.* Strong working knowledge of **SEC and CFTC/NFA regulations**; familiarity with FCA or other global regulators a plus.* Hands-on experience preparing or overseeing **Form ADV, Form PF**, and other regulatory filings.* Proven ability to **advise senior stakeholders** and act as a trusted compliance partner to the business.* Strong judgement, analytical skills, and ability to manage multiple priorities in a fast-paced environment.* Opportunity to play a **key role in shaping the U.S. compliance program** at a global firm.* **High visibility** with senior management and clear growth trajectory toward broader leadership.* Collaborative and dynamic team culture with **hybrid work flexibility**.If you’re a compliance professional looking for a role where you can **make an immediate impact and grow into a senior leadership track**, we’d love to connect. #J-18808-Ljbffr