Hedge Fund

Senior Compliance Officer - Trade Surveillance, New York, NY

Senior Compliance Officer - Trade Surveillance (New York, NY): Our client, a hedge fund with over $4 billion in AUM and several international offices, is looking to hire a Senior Compliance Officer to join their NY office. This new hire will report directly to the Chief Compliance Officer. 


Key Points:

·         Position is open due to growth

·         Will sit on the trading desk and work closely with traders and portfolio managers

·         Opportunity to build out the framework and evaluate how the firm interacts with various exchanges and regulators  

·         Exposure to senior management  


·         Provide coverage for trading surveillance across the firm’s fixed income and FX trading business on a daily, weekly and monthly basis; develop new surveillance reports and implement automated solutions

·         Stay current with new internal trading systems, products and strategies to develop effective surveillance tools for trade activity monitoring; keep up-to-date of regulatory and market structure changes and communicate relevant new changes

·         Review firm policies and procedures applicable to investment team personnel; provide guidance on said policies to support trading activity; work with IT and other teams to test validity of surveillance reports. 


·         4 – 6 years of relevant experience in a compliance capacity; bachelors degree with a strong academic record is required

·         Must be willing to work independently while being able to communicate with the CCO on escalating matters; excellent written and oral communication skills

·         Knowledge of applicable U.S. securities laws, rules and regulations, the Commodity Exchange Act, CME Group Rules and the Securities act of 1933/1934; working knowledge of fixed income and FX products

·         Experience with SMARTSm Actimize or a similar trade surveillance monitoring system; and a detail oriented and analytical mind-set. 

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