Compliance Officer
Software Engineering, Legal
New York, NY, USA
Posted on Sep 2, 2026
What you’ll do day-to-day
- Conduct compliance testing by interpreting regulatory requirements, designing test plans, coordinating and carrying out reviews, and documenting findings and recommendations.
- Perform investment adviser-related regulatory analysis, including evaluating the impact of new business initiatives and policy changes.
- Monitor third-party service providers to ensure compliance with contractual and regulatory standards.
- Prepare and present internal metrics and compliance reports for senior stakeholders.
- Develop trainings to support compliance initiatives and promote awareness of regulatory obligations across the firm.