Senior Compliance Officer

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; Experience with trade compliance and trade surveillance; Knowledge of derivatives strategies and familiarity with complex financial products

Nice to have

JD preferred; Familiarity with SQL and Python a plus