New York, NY
Our client seeks a talented compliance professional or attorney to coordinate and enhance its surveillance of discretionary trading activities. In this role, you’ll work closely with other compliance professionals to maintain and further develop the firm s overall approach to preventing and detecting the misuse of nonpublic information. You’ll also coordinate and advance projects that seek to enhance the technology and processes designed to achieve these critical goals.
This role provides exposure to the breadth of the firm s discretionary trading activities and an opportunity to help craft our approach to surveillance of those activities. You’ll also help the team with other aspects of policies and procedures that seek to prevent and detect the misuse of nonpublic information, including policies that govern the firm s receipt of research, data, and outside expertise, and the training of investment professionals to equip them to identify and mitigate potential risks.
- A law degree or academic background in finance or economics is preferred, along with three to six years of experience in a regulatory, compliance, or surveillance role.
- A familiarity with financial markets and financial services regulations, particularly those relating to the prevention of the misuse of nonpublic information (e.g., Advisers Act Section 204A, SEC Rule 10b-5, the EU Market Abuse Regulation), is required.
- Impressive analytical skills, keen attention to detail, and highly developed written and verbal communication skills are essential.
- Well-developed judgment and discretion, particularly when dealing with confidential information, are essential.
- Candidates with excellent interpersonal and project management skills, and a demonstrated ability to work both independently and collaboratively in support of complex initiatives and projects, will do well in this role.
- Well-developed problem-solving skills and an ability to think creatively and strategically are essential.
The expected annual base salary for this position is $110,000 to $160,000. Our client’s compensation and benefits package includes variable compensation in the form of a year-end bonus, guaranteed in the first year of hire, a sign-on bonus, and benefits including medical and prescription drug coverage, 401k contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.