Senior Compliance Officer - Asset Management
Phaxis
Growing Asset Management client is seeking a Senior Compliance Officer that will lead its trade compliance function and provide real-time advisory support to trading teams across products, strategies, and regions.
Key Responsibilities:
- Lead day-to-day management of the trade compliance program.
- Provide on-desk advisory guidance on Rule 105 of Regulation M , Regulation SHO , cross trades, trade allocations, best execution, MNPI, and ERISA considerations.
- Oversee pre- and post-trade compliance controls and partner with technology to enhance automation and surveillance systems.
- Administer Wall Cross processes and trading restrictions.
- Investigate trade surveillance alerts and support regulatory inquiries and examinations, including those from the U.S. Securities and Exchange Commission and Commodity Futures Trading Commission .
- Execute compliance monitoring and testing initiatives to strengthen governance and controls.
- 6+ years of compliance experience at a registered investment adviser or similar firm.
- Strong trade compliance and surveillance expertise, including MNPI, Reg M Rule 105, Reg SHO, and market abuse concepts.
Vacancy posted 6 hours ago
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