Compliance Officer – Marketing Review
1 day ago
New York
Job Title: Compliance Officer Location: New York, NY Duration: Direct Hire Salary Range: Competitive / Based on Experience Job Description: A leading investment management firm is seeking an experienced Vice President, Compliance Officer to support and enhance its regulatory compliance framework across investment advisory and commodity trading operations. This role will be responsible for executing and maintaining a comprehensive compliance program aligned with SEC, CFTC, and NFA regulatory requirements. The ideal candidate will bring deep expertise in investment management compliance, strong regulatory knowledge, and hands-on experience supporting day-to-day compliance monitoring, surveillance, regulatory filings, and policy governance within a fast-paced financial services environment. Key Responsibilities • Support the implementation, maintenance, and enforcement of the firm’s compliance program in accordance with applicable SEC, CFTC, and NFA regulations., • Conduct daily compliance surveillance activities, including:, • Code of Ethics administration and enforcement, • Personal trading monitoring and reviews, • Restricted list maintenance, • Gifts & entertainment reviews, • Political contribution compliance reviews, • Conflicts of interest management, • Electronic communications surveillance, • Best execution and broker review oversight, • AML / OFAC due diligence reviews, • Review and approve investor-facing and marketing materials including pitch books, monthly performance reports, DDQs, RFPs, and related disclosures for regulatory compliance., • Participate in investor operational due diligence reviews and support responses to compliance-related inquiries., • Assist in the preparation and submission of regulatory filings, including Form ADV, Form PF, CPO-PQR, CTA-PR, and other required disclosures., • Support internal and external audits, regulatory examinations, compliance consultant reviews, and document requests from oversight bodies., • Prepare compliance reports, risk summaries, and committee materials for internal leadership and governance teams., • Assist in the development, enhancement, and distribution of compliance policies, procedures, and internal controls., • Coordinate and administer employee compliance training programs and regulatory awareness initiatives., • Conduct due diligence reviews of third-party service providers, brokers, counterparties, and related business partners., • Monitor regulatory developments and recommend policy or procedural enhancements to maintain compliance with evolving requirements. Qualifications • Bachelor’s degree required; advanced degree or relevant compliance certifications preferred., • Minimum 8+ years of compliance experience within investment management, hedge funds, asset management, or registered investment advisory environments., • Strong working knowledge of:, • Investment Advisers Act of 1940, • Investment Company Act, • Commodity Exchange Act, • SEC regulations, • CFTC / NFA regulatory frameworks, • Hands-on experience managing regulatory filings such as Form ADV, Form PF, CPO-PQR, and CTA-PR., • Proven experience with compliance surveillance, employee trading oversight, Code of Ethics administration, and policy governance., • Experience reviewing investor communications, marketing materials, DDQs, and fundraising documentation., • Familiarity with AML / OFAC compliance requirements and regulatory due diligence practices., • Experience supporting regulatory examinations, audits, and compliance testing activities., • Knowledge of compliance monitoring platforms such as ComplySci, ComplianceAlpha, or similar tools preferred., • Strong analytical, research, organizational, and problem-solving skills., • Excellent written and verbal communication skills with the ability to interact effectively across legal, compliance, investment, and operations teams., • Ability to work independently, manage multiple priorities, and operate effectively in a deadline-driven environment. Ideal Candidate Profile The ideal candidate is a seasoned buy-side compliance professional with deep expertise supporting SEC-registered investment advisers, hedge funds, or alternative asset managers. This individual has hands-on ownership of daily compliance monitoring, regulatory filings, employee surveillance programs, and policy administration, with a strong command of both investment advisory and commodity trading regulatory frameworks. A successful candidate will be detail-oriented, commercially aware, highly organized, and comfortable operating in a fast-paced institutional investment environment while partnering closely with legal, operations, investment, and executive leadership teams. Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian's platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals. Dexian's brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development and Dexian IT Solutions. Visit _ to learn more. Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.