Investment Compliance Guideline Officer

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Posted on: January 9th, 2026

Our client, a well-known Asset Management firm, is looking to add a Compliance Consultant to their team on a 3–4 month contract, with the potential to extend or convert. This role is open to candidates based in NYC or Florida. The consultant will provide hands-on compliance coverage and work closely with internal stakeholders to support daily monitoring and regulatory requirements. The ideal candidate will come from another asset management firm, have extensive experience using Charles River on a daily basis, and be comfortable operating independently in a fast-paced environment.

Responsibilities Include:
  • Performing daily compliance monitoring using Charles River
  • Reviewing trades, positions, and portfolios to ensure adherence to investment guidelines and regulatory requirements
  • Investigating and escalating potential compliance breaches
  • Supporting compliance reporting and documentation for internal and external stakeholders
  • Partnering with portfolio management, trading, and operations teams as needed
Requirements:
  • 10+ years of compliance experience within an asset management firm
  • Strong hands-on experience with Charles River (daily compliance monitoring)
  • Background supporting investment compliance for funds 
  • Ability to step in quickly and provide immediate coverage
  • Strong attention to detail and communication skills

Pay Rate: $60-$63/hour

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