Investment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience working with senior stakeholders such as traders and portfolio managers.
Key Responsibilities:
- Serve as the stand-alone senior investment compliance expert in New York, working closely with traders, analysts, and senior leadership to identify and address issues in real-time.
- Perform ongoing testing in all compliance areas which consist of (insider trading surveillance, compliance with firm policies, TCA, market manipulation surveillance)
- Daily oversight of trades made for adherence to investment guidelines and firm policies.
- Monitor activities of the various trading desks and provide regulatory/policy guidance to equity and fixed income trading personnel located globally
- Drive the future vision of the surveillance function within the organization
Key Qualifications:
- 5-10+ years of experience in investment compliance, with a strong preference for those with experience at asset management firms.
- Bachelors degree; law degree or another graduate degree is a plus.
- Assertiveness to serve as an effective representative of the compliance function.
- Professional presence commensurate with a largely independent role
- Deep knowledge of compliance, surveillance, and regulatory requirements
- Highly effective oral and written communication
Compensation: 200k base + bonus (flexible dependent on experience)
Job Reference: #2759204