Trade Compliance Manager
Northbound Executive Search
Our client, a finance firm based in San Francisco, is seeking a Trade Compliance Manager to join its Compliance team. The ideal candidate will have extensive experience overseeing trade compliance programs, regulatory compliance, and trade surveillance within the financial services industry. Responsibilities Oversee trade surveillance and compliance monitoring to ensure adherence to SEC, FINRA, and internal policies. Partner with senior leadership, Legal, Risk, and business teams to provide guidance on regulatory and compliance matters. Identify and assess compliance risks and recommend appropriate controls and remediation. Develop, implement, and maintain compliance policies, procedures, and internal controls. Review and investigate potential trading violations, conflicts of interest, and other compliance issues. Support regulatory examinations, audits, and management reporting. Qualifications Bachelor's degree in Finance, Business, or a related field. 7+ years of trade compliance experience within a financial services firm. Strong knowledge of SEC, FINRA, and securities regulations. Experience with trade surveillance, risk assessments, policy development, and regulatory reporting. Proven ability to partner with senior leaders and influence cross-functional stakeholders. Strong analytical, communication, and problem-solving skills. #J-18808-Ljbffr
Vacancy posted 1 day ago
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