Compliance Officer
Job Description
Graham Capital Management, L.P. ("Graham") is an alternative investment manager founded in 1994 by Kenneth G. Tropin. Specializing in discretionary and quantitative macro strategies, Graham is dedicated to delivering strong, uncorrelated returns across a wide range of market environments. As one of the industry’s longest-standing global macro and trend-following managers, Graham remains committed to innovation, evolving its strategies through a robust investment, technology, and operational infrastructure. Graham harnesses the synergies between its discretionary and quantitative trading businesses to offer a broad suite of complementary alpha strategies, each built on the principles of thoughtful portfolio construction, active risk management, and diversification by design. Graham invests significant proprietary capital alongside its clients – including global institutions, endowments, foundations, family offices, sovereign wealth funds, investment management advisors, and qualified individual investors – reinforcing alignment of interests across all strategies.
The foundation of Graham’s sustainability and success is the experience and contributions of its people. The firm seeks to cultivate talent, encourage the diversity of ideas, and respect the contributions of all. In turn, each employee shares in the responsibility of strengthening those around them.
Description
Graham Capital Management, L.P. is seeking a Compliance Officer to join the firm’s Legal/Compliance team. Reporting directly to the Chief Compliance Officer, the Compliance Officer will be responsible for managing the daily functions of the firm’s compliance framework and will assist the Chief Compliance Officer in developing new compliance policies and procedures in response to changes in the firm’s operations and new regulatory requirements over time. The ideal candidate will be detail-oriented and organized, and embrace the challenge of taking on new projects.
Responsibilities
- Assist in administering the firm’s Code of Ethics via the firm’s automated compliance monitoring system
- Assist in administering current compliance tests and developing new compliance tests
- Support the firm’s compliance training program through developing training material and conducting training sessions for employees
- Assist in preparing various regulatory filings in support of the firm’s global operations (Form ADV, FORM PF, 13H and 13F, overseas regulatory filings, etc.)
- Assist with updating the firm’s Compliance Manual
- Assist in preparing quarterly and annual compliance certifications, DDQ’s, RFPs and attestations
- Lead the onboarding of additional support for compliance operations, either by hiring and mentoring a junior Compliance Analyst or by engaging and managing a third-party managed service provider, to ensure the efficient execution of day-to-day compliance responsibilities.
- Maintain the Compliance Calendar
- Help administer the firm’s vendor due diligence program
- Support the firm’s privacy data program
Requirements
- Bachelor’s degree
- Minimum of 6 years of relevant experience in financial services
- Previous regulatory compliance experience at a buy-side firm
- Experience with developing and conducting compliance testing
- Experience with 3rd party vendor management programs is a plus
- Experience with compliance monitoring/management systems
- Effective organizational skills
- Critical thinker
- Comfortable communicating with different stakeholders within the firm and taking ownership of projects
The role requires commuting into the office Mondays through Fridays. The primary office is Rowayton, CT but can include working out of our NYC office as well.
Base Salary Range
The anticipated base salary range for this position is $170,000 to $225,000. The anticipated range is based on information as of the time this post was generated. The applicable annual base salary or hourly rate paid to a successful applicant will be determined based on multiple factors, including without limitation the nature and extent of prior experience, skills, and qualifications.
Base salary or rate does not include other forms of compensation or benefits offered in connection with the advertised role.
Graham is committed to providing equal employment opportunity to all employees and applicants for employment without regard to their race, color, religious creed, gender, age, national origin, ancestry, alienage, citizenship status, handicap, disability, marital status, sexual orientation, gender identity, pregnancy, childbirth or other related conditions, military status, genetic information, or any other personal characteristics protected by applicable law. This policy applies to all terms and conditions of employment, including hiring, placement, promotion, layoff, termination, transfer, leave of absence and compensation
Company Information
Location: New York, TX
Type: Hybrid