Compliance Officer
JW Michaels & Co.
Well-regarded global hedge fund is seeking a dynamic compliance officer with strong trading compliance experience to join their team. Responsibilities: Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conduct Support and enhance the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring Manage cross-functional coordination 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 Partner with trading operations and technology teams to develop and implement automated controls, reports, and dashboards Execute and manage trading-related compliance projects Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders Develop and deliver targeted training and guidance for trading personnel to embed compliance-by-design practices Requirements: Juris Doctorate degree and Bar admission 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 Strong experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs Proven ability to analyze trading activity and alert data Experience conducting compliance investigations Track record of leading cross-functional projects to implement policy, system, or process changes related to trading Excellent verbal and written communication skills #J-18808-Ljbffr
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