Senior Compliance Officer
New York, New York • $160,000-$200,000
About the Company:
Our client is an international alternative investment firm with over $10 billion in AUM. The firm uses derivative-based strategies for its investors who are pension funds, university endowments, foundations, and insurance companies.
Responsibilities:
- Oversee and enforce policies and procedures for trading governance and quantitative trading activity
- Provide compliance advisory support for trading staff across products and regions
- Advise on permissible transactions including cross trades, Regulation M offerings, and ERISA suitability
- Review and facilitate potential Wall Cross opportunities including administration of any relevant trading restrictions and documentations
- Onboard and train traders across all asset classes on trade compliance
- Assist with inquiries by regulators
- Support the trade surveillance program and compliance testing
Requirements:
- Bachelor’s degree required
- 6-8 years of experience in compliance at a registered investment adviser
- JD preferred
- Experience with trade compliance and trade surveillance
- Knowledge of derivatives strategies and familiarity with complex financial products
- Familiarity with SQL and Python a plus
Salary Range:
$160,000-$200,000
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