Compliance Officer jobs in United States
cer-icon
Apply on Employer Site
company-logo

Palmer Square Capital Management LLC · 21 hours ago

Compliance Officer

positionMission, KS
timeFull-time
remoteOnsite
seniorityEntry, Mid Level
date2+ years exp

Palmer Square Capital Management LLC is a boutique investment manager specializing in corporate credit and structured credit. They are seeking a detail-oriented Compliance Officer to support the firm’s compliance program in alignment with SEC regulations and internal policies, focusing on anti-money laundering (AML) and know your customer (KYC) requirements.

ConsultingFinanceFinancial Services

Responsibilities

Assist in the administration and maintenance of the firm’s compliance program under the Investment Advisers Act of 1940
Conduct and document compliance testing and reviews, and assist with annual compliance risk assessments
Support AML and KYC processes, including managing information, counter-party, and due diligence requests
Help manage personal trading surveillance, including review and monitoring of employee trading activity
Review and track employee certifications, disclosures, gifts and entertainment, political contributions, and outside business activities
Assist with regulatory filings, including Form ADV amendments and other required reports
Maintain compliance records and assist in the development and updating of policies and procedures

Qualification

Compliance experienceAML requirementsKYC requirementsMicrosoft Office SuiteRegulatory reportingAnalytical abilityPersonal trading surveillanceSEC filingsAttention to detailOrganizational skillsWritten communicationVerbal communicationIndependent workCollaborative work

Required

Bachelor's degree from an accredited institution
2–5 years of compliance experience at a broker-dealer, bank, investment adviser, or other regulated financial institution
Demonstrated experience with AML and KYC requirements
Proficient in Microsoft Office Suite, including Excel for data analysis, formulas, and spreadsheet organization
Excellent attention to detail, organizational skills, and analytical ability
Strong written and verbal communication skills
Ability to manage multiple priorities and work independently as well as collaboratively

Preferred

Familiarity with personal trading surveillance systems such as StarCompliance, MyCompliance Office, or equivalent platforms
Understanding of SEC filings or experience with EDGAR, CRD, and/or IARD

Company

Palmer Square Capital Management LLC

twittertwitter
company-logo
Founded in 2009 and based just outside of Kansas City, Palmer Square Capital Management is a boutique investment manager specializing in corporate credit and structured credit, currently managing approximately $36.3 billion across various vehicles and strategies for a diverse set of clients that includes institutions, family offices, and registered investment advisory firms (as of 11/30/2025).
dateFounded in 2009
location
Mission, Kansas, USA
people-size51-200 employees
web-link
https://palmersquarecap.com/

Funding

Current Stage
Public Company
Total Funding
unknown
2024-01-18IPO

Leadership Team

leader-logo
Scott Betz
Chief Operating Officer
linkedin
leader-logo
Matt Bloomfield
Partner / Portfolio Manager
linkedin

Recent News

Zawya.com
Auto sector bankruptcies spark fresh scrutiny of Wall Street credit risks
2025-10-15
Alternative Credit Investor
Palmer Square lists European CLO ETF on LSE
2025-09-17
Morningstar.com
Palmer Square Capital Management Lists Europe’s First Passive CLO ETF on the London Stock Exchange
2025-09-17
Company data provided by crunchbase