Overview
Senior Compliance Officer Jobs in New York City Metropolitan Area at Landing Point
Title: Senior Compliance Officer
Company: Landing Point
Location: New York City Metropolitan Area
Senior Compliance Officer & Counsel (New York, NY): A New York-based investment management firm is seeking an experienced, Senior Compliance Officer & Counsel to lead the firm’s compliance program and serve as a senior legal advisor to the founders and investment team. This person will have a clear path to taking over as both General Counsel and Chief Compliance Officer. Compliance responsibilities are expected to represent at least 50% of the role, with the balance focused on legal, regulatory, governance, and operational matters arising across the firm and its investment activities. This is a core leadership role requiring comfort working with limited layers, minimal bureaucracy, and direct access to senior decision-makers.
Highlights:
- High-growth investment platform that is now north of $2.5b in AUM.
- Strong performance and continued momentum: The firm is performing well and remains in an active growth phase, creating meaningful opportunities for employees to expand their responsibilities as the organization develops.
- Newly created leadership role: This is not a replacement hire. The position is being created to strengthen the firm’s legal and compliance infrastructure and will have significant visibility with the founders and investment team.
- Clear long-term advancement opportunity: The successful candidate will have the opportunity to grow into the firm’s Chief Compliance Officer and potentially General Counsel over time, depending on experience and performance.
- Broad, substantive mandate: The role offers exposure across investment adviser compliance, public and private investments, fund matters, regulatory filings, governance, employment issues, and day-to-day legal matters.
- Entrepreneurial and fast-paced environment: The individual will join a young, growing firm with limited bureaucracy, direct access to senior decision-makers, and the ability to have a visible impact on how the legal and compliance functions are built.
- Compensation: 400-650k all in depending on experience
Qualifications
- J.D. from an accredited law school and active membership in good standing with a U.S. state bar
- At least 8 years of relevant legal and compliance experience, including meaningful in-house experience at an investment manager, hedge fund, private fund manager, or similar financial institution
- Experience leading or playing a significant role in an investment adviser compliance program, ideally as a CCO, Deputy CCO, senior compliance professional, or lawyer with combined legal and compliance responsibilities
- Strong knowledge of the Investment Advisers Act, federal securities laws, private fund regulation, and public equity investment strategies
- Experience with compliance program administration, regulatory filings, MNPI, personal trading, conflicts, marketing review, SEC examinations, fund documentation, and commercial agreements
- Strong judgment, commercial instincts, attention to detail, and the ability to operate autonomously in a lean, high-performance environment
- A hands-on, collaborative, and low-ego approach
