What are the responsibilities and job description for the Compliance Officer (Generalist) position at Landing Point?
Compliance Officer
New York, NY (In-Office 4 Days per Week)
Pay: 225-300k all-in, dependent on experience
Company Overview:
Join a dynamic and growing global alternative investment firm with a strong presence in New York City. As they expand their compliance team, they seek a highly skilled Compliance Officer to join their small but impactful group. This role presents an exciting opportunity to gain broad exposure to various aspects of the firm’s compliance program, while also handling the compliance marketing.
Position Overview:
As a Compliance Officer, you will be the fourth member of our growing compliance team, working closely with colleagues across multiple business units. This is a generalist role, requiring a strong background in compliance marketing while providing exposure to other key compliance functions. The ideal candidate is proactive, detail-oriented, and eager to contribute to a collaborative environment.
Key Responsibilities:
- Review and approve marketing materials to ensure compliance with SEC, CFTC, NFA, and other relevant global regulatory requirements.
- Partner with the marketing and investor relations teams to provide guidance on regulatory best practices for marketing communications, presentations, and social media.
- Assist in monitoring and maintaining compliance policies and procedures, ensuring adherence to applicable laws and regulations.
- Support regulatory filings, including Form ADV, Form PF, and other required disclosures.
- Conduct compliance training sessions for employees, focusing on marketing regulations and broader compliance topics.
- Assist in responding to regulatory inquiries, audits, and examinations.
Qualifications & Experience:
- 5-10 years of compliance experience within an alternative investment firm, asset management firm, or similar financial services environment.
- Strong expertise in compliance marketing, including familiarity with SEC rules (such as the Marketing Rule) and FINRA advertising regulations.
- Knowledge of broader compliance functions, including regulatory filings, surveillance, and policy development.
- Ability to work in a fast-paced, evolving environment with a high degree of professionalism and discretion.
- Bachelor’s degree required; advanced degree or relevant certification (e.g., JD, CFA, CPA, CAMS) is a plus.
