More jobs:
Senior Compliance Officer – Trade Surveillance
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-02-08
Listing for:
Barclay Simpson
Full Time
position Listed on 2026-02-08
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
Overview
We’re conducting a search on behalf of a global alternative investment firm who are looking to add a Senior Compliance Officer to their team.
This individual will oversee the firm’s day-to-day trade surveillance activities, manage a junior associate, and work closely with Portfolio Managers, the Investment team, and Legal and Compliance stakeholders.
Responsibilities- Lead the firm’s trade compliance function across products, strategies, and regions.
- Provide on-desk advisory support to traders and PMs (Reg M, Reg SHO, Rule 105, allocations, best execution).
- Oversee pre- and post-trade surveillance and partner with technology on compliance systems.
- Manage wall-crossing, trading restrictions, and related documentation.
- Enforce trading governance policies for discretionary and quantitative strategies.
- Advise on permissible transactions (cross trades, ERISA considerations, offerings).
- Onboard and train PMs and traders on MNPI, sanctions, and trade compliance standards.
Position Requirements
10+ Years
work experience
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×