Compliance Officer, Expert Networks jobs in United States
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Balyasny Asset Management L.P. · 4 hours ago

Compliance Officer, Expert Networks

positionNYC Metro Area
timeFull-time
remoteOnsite
senioritySenior Level
date5+ years exp

Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The primary focus will be to assist the Compliance Department with reviewing Expert Network requests and providing compliance oversight to investment and non-investment staff in their US offices.

Financial Services
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Growth Opportunities
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H1B Sponsor Likelynote

Responsibilities

Review and approve expert network requests from investment team members
Chaperone expert network calls, documenting and tracking all calls and meeting notes
Analyze material non-public information and carrying out vetting procedures
Work closely with expert network vendors
Conduct new hire and annual compliance trainings
Review subject expert meeting requests
Assist with e-communications review and surveillance to detect any BAM Compliance policy breaches
Assist the Senior Compliance Counsel on data/research compliance matters
Handle compliance inquiries and provide oversight and guidance to investment and non-investment staff
Assist the team on the Compliance Annual review process
Assist the Compliance Department with ongoing regulatory requirements and enforcing Compliance policies
Escalate matters to Compliance management as necessary
Participate in ad-hoc requests as needed

Qualification

Compliance experienceExpert network managementRegulatory complianceResearch skillsOrganizational skillsProfessionalismMultitaskWritten communicationVerbal communicationAttention to detailWork independently

Required

Bachelor's Degree required
At least 5 years of Compliance experience with demonstrated experience managing expert network vendors, requests, and calls
Experience reviewing expert network requests and chaperoning calls prevent conflicts and MNPI disclosures
Experience with managing process, workflow, etc
Compliance or legal experience with an investment adviser or broker-dealer
Strong organizational and research skills
Ability to juggle multiple tasks when necessary
Ability to work independently and excel in a high intensity environment
High standard of professionalism in all dealings with internal staff and any external partners, clients and regulatory agencies
Strong written and verbal communication skills
Outstanding attention to detail

Company

Balyasny Asset Management L.P.

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Balyasny Asset Management (BAM) is a diversified global investment firm founded in 2001 by Dmitry Balyasny, Scott Schroeder, and Taylor O'Malley.
dateFounded in 2001
location
Chicago, Illinois, USA
people-size1001-5000 employees
web-link
https://www.bamfunds.com/

H1B Sponsorship

Balyasny Asset Management L.P. has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (107)
2024 (85)
2023 (39)
2022 (44)
2021 (28)
2020 (18)

Funding

Current Stage
Late Stage

Leadership Team

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David Black
Managing Director Business Development
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J
Jeremy Brunelli
Data Science & AI | Managing Director, Head of Geospatial & Alt Data Research
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Recent News

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Company data provided by crunchbase