Senior Compliance Officer

Softcard (acquired by Google)

. Review compliance exceptions promptly within established timelines, providing subject matter expertise and communicating critical information to investment and trading personnel.

Posted 3/10/2026full-timeAtlanta • New York, Texas • 🇺🇸 United StatesSenior💰 $110,000 - $125,000 per yearWebsite

About the role

Key responsibilities & impact

Review compliance exceptions promptly within established timelines, providing subject matter expertise and communicating critical information to investment and trading personnel.
Analyze compliance alerts using knowledge of investment guidelines, regulations, compliance systems, and internal policies to deliver accurate and timely decisions.
Ensure decisions maintain high accuracy to prevent violations of client prospectus, regulatory, and internal guidelines, as well as operational errors.
Coordinate communication, resolution, and documentation of compliance violations with internal parties following established procedures.
Assist fixed income investment and trading personnel with critical, time-sensitive questions and requests related to investment restrictions at portfolio and firmwide levels.
Conduct test trades for new investment ideas and instruments to ensure compliance with applicable restrictions.
Identify potential gaps in monitoring processes and propose practical process improvement solutions.
Present complex information clearly and professionally through written materials or presentations to diverse audiences.

Requirements

What you’ll need

Bachelor’s degree in a related field such as accounting, finance, or a similar discipline.
Minimum of 4 years of relevant work experience in financial services, preferably within asset management.
Sound knowledge of investments, investment management industry, and in-depth investment/securities knowledge.
Familiarity with domestic and international securities laws (e.g., 1940 Act, UCITS Framework, 81-102).
Prior experience with trading/compliance systems such as Aladdin or Charles River preferred.
Strong analytical, quantitative, and problem-solving skills with the ability to make critical, time-sensitive decisions.
Excellent interpersonal, communication (written and oral), and organizational skills with the ability to manage competing priorities.
Ability to work independently under pressure while maintaining a strong customer service orientation and collaborative team approach.

Benefits

Comp & perks

Flexible paid time off
Hybrid work schedule
401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
Health & wellbeing benefits
Parental Leave benefits
Employee stock purchase plan

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance analysisinvestment guidelinesregulationscompliance systemstest tradesprocess improvementquantitative analysisproblem-solvingdecision-making

Soft Skills

interpersonal skillscommunication skillsorganizational skillscustomer service orientationcollaborative team approachability to work independentlyability to manage competing priorities