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Compliance Officer

2 months ago

New York, United States Cardea Group Full time

Compliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office.


Key Points:

  • Role is newly created and will allow new hire to take ownership of trade testing and monitoring process
  • Firm has an entrepreneurial spirit; people are high energy, collaborative, and love sharing new ideas
  • CCO encourages career growth and wearing many hats across the compliance program


Responsibilities:

  • Conduct post-trade and end of day batch investment compliance monitoring activities for client accounts; work close with the investment professionals
  • Manage ongoing testing in all compliance areas which consist of (insider trading surveillance, compliance with firm policies, TCA, market manipulation surveillance)
  • Collect, review and organize information to support test results, while suggesting new tests to be developed; interact with portfolio managers in an active trading environment
  • Prepare compliance reports and certifications for assigned accounts on a weekly, monthly and quarterly basis; answer sub-advised clients’ DDQs and respond to other compliance inquires


Qualifications:

  • 3+ years of experience in a compliance capacity or related function; bachelors degree
  • Working knowledge regulatory requirements for the financial services industry, automated daily pre-trade compliance systems (Bloomberg, Charles River, Latent Zero) is a plus
  • Ability to handle multiple responsibilities across multiple entities as well as working independently; excellent written and verbal communication skills as this role requires professional interactions with both internal and external contacts
  • Ability to prioritize workload and adapt quickly to change and deliver well under the pressure of deadlines.


Compensation: $150 base + bonus (+/- dependent on experience)