Compliance Officer, Finance & Banking

Global investment management firm is seeking a compliance officer to join their dynamic team.

Strong expertise with Trading Compliance is required, JD is a plus. They are on a hybrid schedule and working 4 days in office.

Duties and Responsibilities:

• Provide real-time compliance coverage for traders, providing trade approvals and trading conduct
• Support the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring
• Work collaboratively with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions
• Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues
• Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation
• Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders

Qualifications:

• 4 year degree and a JD is a strong plus but not required
• 5-7 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance
• Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct
• Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs
• Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice
• Proven ability to analyze trading activity and alert data
• Experience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans
• Track record of leading cross-functional projects to implement policy, system, or process changes related to trading

The firms offers an amazing benefits package!