Compliance Officer

Job Description

A leading investment management firm is seeking an experienced Compliance Officer to oversee regulatory compliance across its trading activities. This role combines hands-on trading desk advisory, surveillance oversight, regulatory expertise, and compliance program development.

The ideal candidate will bring a strong understanding of securities regulations, experience supporting investment professionals, and the ability to improve trading controls in a fast-paced environment.

Key Responsibilities

• Serve as a primary compliance resource for traders and investment professionals, advising on trading restrictions, approvals, and regulatory obligations.
• Oversee and strengthen trade monitoring controls, including pre-execution reviews, post-trade surveillance, alert analysis, and exception management.
• Evaluate trading patterns, investigate potential compliance violations, and recommend appropriate corrective actions.
• Collaborate with portfolio managers, trading operations, legal, risk, and technology teams to address regulatory and operational challenges.
• Assess compliance considerations associated with new investment strategies, financial instruments, and trading markets.
• Lead initiatives to improve surveillance technology, automated monitoring, reporting capabilities, and internal controls.
• Manage compliance-related projects, coordinating stakeholders and ensuring timely implementation of regulatory and process changes.
• Prepare investigation findings, risk assessments, and recommendations for senior management.
• Develop trading compliance policies, procedures, and training programs to support regulatory adherence.
• Stay informed of evolving securities regulations and market practices, translating developments into practical business guidance.

Required Qualifications

• Juris Doctor (JD) from an accredited law school and active bar admission.
• Minimum 5 years of compliance experience within an asset manager, hedge fund, or broker-dealer, with direct exposure to trading compliance.
• Strong knowledge of U.S. securities regulations, trading practices, and market conduct requirements.
• Demonstrated experience developing, managing, or enhancing pre-trade and post-trade surveillance programs.
• Proven ability to advise traders, portfolio managers, and trading operations teams on time-sensitive compliance matters.
• Experience reviewing trading activity, interpreting surveillance alerts, and conducting compliance investigations.
• Strong background in preparing investigative reports, escalation documentation, and remediation recommendations.
• Experience leading cross-functional initiatives involving compliance policies, technology, or operational improvements.
• Excellent communication, analytical, and stakeholder management skills, with sound judgment and a strong commitment to professional integrity.