Compliance Officer at Valence Labs

Westport, Connecticut, United States -

Full Time

Start Date

Immediate

Expiry Date

04 May, 26

Salary

600000.0

Posted On

03 Feb, 26

Experience

10 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Regulatory Frameworks, Attention to Detail, Organizational Skills, Communication, Collaboration, Stakeholder Management, Self-Starter, Technology Utilization, Process Development, Trading Compliance, Documentation, Training, Reporting, Incident Management, Asset Class Knowledge

Industry

Executive Offices

Description

Compliance Officer Dalio Family Office Dalio Family Office Overview: The Dalio Family Office (DFO) supports Barbara and Ray Dalio and their family in their ventures, investments, and philanthropic efforts under Dalio Philanthropies, which includes OceanX, Dalio Education, Endless Network, and the Beijing Dalio Foundation. The core of the DFO’s culture is built around meaningful work and meaningful relationships and the family’s commitment to giving back. The office is headquartered in Westport, CT with regional offices in New York City, Singapore, and Abu Dhabi. Legal Pillar Overview: The Legal Pillar at the DFO is responsible for overseeing all legal aspects of our enterprise. They safeguard our reputation by guaranteeing the company follows pertinent legal guidelines. The team also acts as a shared service resource for the organization in giving legal advice to management and individuals about all relevant issues. As the DFO matures and expands, the legal team’s mandate for servicing the enterprise excellently also expands. Position Summary: The Compliance Officer will pull together the DFO’s existing compliance policies and processes and build from the ground up a robust compliance framework spanning domestic and international regions, across a variety of commercial activities. The Compliance Officer must be highly organized, detail-oriented, pragmatic, tech forward and able to collaborate and communicate effectively with stakeholders in a team environment that thrives on forward thinking, independence, creativity and a commitment to constant evolution. You will start as an individual contributor, reporting initially to the Head of our Legal Pillar, and will guide the buildout of the function as it grows. This is a highly visible role that will work closely with Legal, Security, and business leaders to establish a robust global compliance program. Day-to-day responsibilities would include a combination of the following: Process Development: Build out compliance processes from ideas to execution, adapting to the evolving needs of the family office. Trading Compliance: This role is required to very quickly establish and operate a compliance program for our new proprietary trading program about to be launched: Build and oversee systems and processes to ensure compliance with all applicable rules and regulations touching our trading activities globally, including first and foremost all SEC rules, regulations and filing obligations. Build, monitor and update a compliance handbook that explains the regulations applicable to trading operations and identifies the machines in place to ensure compliance with each. Manage regulatory/exchange inquiries, respond to data requests, and lead incident triage/remediation. Perform targeted testing (e.g., restricted list adherence, PA trading reviews, surveillance alert QA, records retention checks, vendor due diligence) and document remediation. Regulatory: Stay current with relevant regulatory developments affecting the family office and its investment function; manage communications with regulatory bodies as necessary. General Compliance: Own the compliance policy suite, including but not limited to code of conduct/code of ethics, conflicts of interest policies and controls, anti-corruption, record retention and any other compliance areas as requested. Documentation: Create, organize, and centralize compliance documentation, ensuring organizational accessibility and audit-readiness; maintain controlled versions and revision logs. Publish self-serve guides and checklists to reduce approvals and speed decision-making. Training and Certifications: Deliver tailored training for Trading, Investments, Operations, Code of Ethics and IT, track completion and effectiveness. Build processes for relevant employee training and employee certification of policies. Reporting: Develop, manage, and submit all required compliance reports in a timely and accurate manner. Function as an integral part of the response team in connection with any breaches of policy. Additional duties as assigned. The ideal candidate will possess the following knowledge, skills, attributes, and values: Proven interest in gaining efficiencies through technology, particularly in the utilization of agentic AI or similar tools. Strong understanding of regulatory frameworks. Exceptional attention to detail and organizational skills. Excellent communication, collaboration, and stakeholder management abilities. Self-starter able to work independently and prioritize multiple tasks. Demonstrated commitment to excellence, and excited to enter into an environment that fosters continuous growth and feedback. Illustrative Benefits: 100% company paid medical premiums 17 company paid holidays Friday summer hours Monthly community happy hours Hybrid work environment Free catered food services for in-office days Generous PTO offering Casual dress code 150% 401(k) match up to $7,500 and 100% match above $7,500 ($15k match limit) Gym reimbursement, back up childcare services, insurance, financial, and legal services, and much more! Qualifications: Bachelor's Degree with a strong academic track record. Advanced degree, MBA, CPA, Certified Compliance & Ethics Professional (CCEP), Certified Regulatory, Compliance Manager (CRCM) or Juris Doctorate, preferred. 10+ years in markets/trading compliance at a family office, hedge fund, prop trading firm, fintech, or asset manager; proven record building or upgrading a program in a lean environment. Jurisdiction: Strong U.S. (SEC/CFTC/NFA/exchange rules) grounding and practical exposure to Singapore/MAS considerations; comfortability with ADGM/FSRA if needed. Asset class knowledge: listed equities, futures, FX, swaps/derivatives; familiarity with trade surveillance, MNPI controls, and communications/records requirements. Proven experience developing and implementing compliance processes and documentation systems. Compensation: Compensation for the role includes a competitive salary in the range from $400,000 -$600,000 (inclusive of a merit-based bonus, dependent on years of experience, level of education obtained, as well as applicable skillset) and an excellent benefits package, including a comprehensive employer paid medical plan and generous employer match for 401k. Please note we are unable to provide immigration sponsorship for this position. At the DFO, we believe our biggest asset is our people. We are proud to be an equal opportunity employer, hiring and developing individuals from diverse backgrounds and experiences to add to our collaborative culture. The DFO treats all candidates and employees with respect and does not discriminate in our recruiting, hiring, and promoting processes and general treatment during employment, including on the basis of actual or perceived race, creed, color, religion, sex, age, sexual orientation, gender identity and/or expression, alienage or national origin, ancestry, citizenship status, marital status, veteran status, or disability.

Responsibilities

The Compliance Officer will develop and oversee compliance processes for the Dalio Family Office, ensuring adherence to legal guidelines and regulations. This role will also involve building a compliance framework for trading activities and managing communications with regulatory bodies.