Senior Trade Surveillance Officer

Our client is a global, multi-strategy investment management firm headquartered in New York City, seeking a Senior Trade Surveillance Officer to join its Legal & Compliance function. This is a highly visible role supporting front-office trading teams while owning key elements of the firm’s trade compliance and surveillance framework across asset classes and strategies. This individual will sit close to the business, acting as a trusted compliance advisor while also helping to evolve systems, controls, and monitoring processes in a fast‑paced trading environment. The annual base salary range is $150,000 to $200,000. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things. Details about eligibility for bonus compensation (if applicable) will be finalized at the time of offer. Job Responsibilities Serve as the primary owner of the firm’s trade compliance and trade surveillance coverage, supporting trading activity across multiple products, strategies, and regions Provide real-time, desk-side compliance guidance to portfolio managers and traders on trading restrictions, execution practices, allocation methodologies, and regulatory considerations Oversee and enhance pre‑trade and post‑trade controls, working closely with internal technology teams and third‑party vendors to improve system functionality and coverage Maintain and enforce governance standards related to trading activity, including oversight of quantitative and systematic strategies Review and manage restricted trading events, including information‑sensitive situations and controlled access processes, ensuring proper documentation and controls are in place Advise on complex or non‑standard transactions, including cross trades, capital markets activity, and suitability considerations Lead onboarding and ongoing education for investment professionals on trade compliance topics such as material non‑public information, short‑sale regulations, sanctions, and allocation practices Support regulatory examinations and inquiries by preparing documentation, coordinating responses, and engaging with regulators as needed Investigate trade surveillance alerts, determine root causes, document findings, and recommend enhancements to reduce risk and improve efficiency Execute components of the compliance monitoring and testing program, developing procedures and partnering with engineers to automate and scale monitoring routines Job Requirements Minimum of 6 years of experience in compliance within an investment management, trading, or advisory environment Demonstrated hands‑on experience with trade compliance and surveillance, including regulatory frameworks governing short sales, market integrity, and inside information Strong analytical mindset with exceptional attention to detail and sound judgment Excellent written and verbal communication skills, with the ability to interact confidently with front‑office and senior stakeholders Exposure to derivatives strategies and complex financial instruments is a plus Bachelor’s degree from an accredited institution; advanced legal or regulatory education preferred but not required Advanced Excel skills required; experience with data querying or programming languages (e.g., SQL, Python) is a plus #J-18808-Ljbffr Atlas Search