Regulatory Compliance Consultant Job at Atlas Search, New York, NY

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  • Atlas Search
  • New York, NY

Job Description

Job Description

Job Description

Regulatory Compliance Consultant (Contract through 2025)
New York, NY (Hybrid | In-office Tuesday–Thursday)

A leading global investment management firm is seeking a Regulatory Compliance Consultant to support its Code of Ethics program through the remainder of 2025, with the potential to extend into early 2026. This role offers hands-on exposure to personal trading compliance, pre-clearance review, and ethics monitoring within a fast-paced, high-performing environment.

Responsibilities:

  • Review pre-clearance trade requests to ensure employee trading aligns with the firm’s fiduciary obligations.
  • Support the maintenance of the Code of Ethics monitoring system (StarCompliance), including reconciling accounts, securities, and related data.
  • Conduct post-trade reviews to verify adherence to Code of Ethics requirements.
  • Assist with annual compliance training, including issuing materials and tracking completion progress.

Qualifications:

  • 1+ year of professional experience in regulatory compliance, ideally within personal trading or pre-trade clearance.
  • Familiarity with Code of Ethics programs or employee compliance monitoring systems.
  • Experience with StarCompliance preferred; knowledge of similar systems (ComplySci, MyComplianceOffice, FundApps, SteelEye, AuditBoard, Scrut Automation, RegEd) a plus.
  • Strong attention to detail and ability to manage multiple priorities effectively.
  • Proficiency in Microsoft Word and Excel; advanced Excel skills a plus.

Schedule: Hybrid, in-office Tuesday–Thursday (NYC).

Company Description

Atlas Search is an executive recruiting firm dedicated to placing accounting, finance, middle office, information technology, human resources, and office / accounting support professionals. Our clients range from Fortune 500 to start-ups and we service all industries ranging from Financial Services to Media & Entertainment. We were founded on the principle of relationships; our firm has been built on partnering with candidates and clients with a focus on their long-term interests. We provide Technology professionals like yourself on a permanent basis for our clients across all industries. Specialties include: Software Engineers, Web Developers, iOS/Android Engineers, Data Analysts, Business Intelligence, Data Engineers, Data Scientists, Help Desk/Desktop Support, Systems Administrators/Engineers, Network Administrators/Engineers, Cloud/DevOps Engineers, Application Support, Business Analysts, Project Managers, IT Managers, CTOs, etc.

Company Description

Atlas Search is an executive recruiting firm dedicated to placing accounting, finance, middle office, information technology, human resources, and office / accounting support professionals. Our clients range from Fortune 500 to start-ups and we service all industries ranging from Financial Services to Media & Entertainment. We were founded on the principle of relationships; our firm has been built on partnering with candidates and clients with a focus on their long-term interests. We provide Technology professionals like yourself on a permanent basis for our clients across all industries. Specialties include: Software Engineers, Web Developers, iOS/Android Engineers, Data Analysts, Business Intelligence, Data Engineers, Data Scientists, Help Desk/Desktop Support, Systems Administrators/Engineers, Network Administrators/Engineers, Cloud/DevOps Engineers, Application Support, Business Analysts, Project Managers, IT Managers, CTOs, etc.

Job Tags

Permanent employment, Contract work, Work at office,

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