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Compliance Officer Equities NY
Job Location:
Job Location:
New York City, NY - USA
Monthly Salary:
Not provided by the employer
Monthly Salary:
Posted:
6 June 2026 (30+ days ago)
Posted:
Application Deadline:
3 September 2026
Application Deadline:
Vacancies:
1 Vacancy
Vacancies:
Job Summary
*Exciting opportunity in NY!!!
Compliance Officer Equities New York Hedge Fund/Family Office Experience Required (Mid-level)
Our client a leading investment firm in New York is looking for a Compliance Officer to join their Compliance team focusing on Equities trading. This mid-level position requires an experienced and detail-oriented professional to ensure that all trading and investment activities comply with regulatory requirements and internal policies.
Key Responsibilities include:
- Providing day-to-day compliance support across Equities trading including reviews and approvals for private placements IPOs and block trades.
- Conducting wall crossing procedures and maintaining restricted and Do Not Short lists.
- Reviewing and approving new products countries jurisdictions and custom baskets.
- Partnering closely with investment trading and operations teams to deliver timely compliance guidance.
- Enhancing policies controls and documentation to meet global regulatory expectations.
Qualifications for this role:
- 710 years of compliance experience with a strong focus on Equities.
- Required experience in a hedge fund or family office.
- Proficiency with trading systems and compliance workflows.
- Strong communication collaboration and problem-solving skills.
- High integrity sound judgment and ability to thrive in a fast-paced environment.
Preferred qualifications include global regulatory knowledge and professional certifications such as CFA or other compliance credentials.
Monica R. Machado
Director USA / LATAM
Required Experience:
Unclear Seniority
