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Senior Compliance Officer

2 months ago

new york city, United States Bruin Full time

Renowned family office (closely resembling a hedge fund) are seeking an experience Equity Capital Markets Compliance Officer to join their New York business.


Supporting the Group Head of Compliance and US Head of Legal, you will be the business’ go-to regulatory advisory contact for ECM activities, and associated controls (wall crossing, MNPI, etc) given the nature of some of the public market strategies the firm also trade in.


In addition, the role offers broader variation supporting the entirety of the US operation (cross-strategy) on core tasks such as policy drafting, risk assessment and surveillance efforts.


This business offers a challenging, forward-thinking culture and has seen consistent returns for over two decades.


Requirements


  • At least 7 years’ compliance advisory experience. Familiarity of ECM activity (IPOs, block trades, private placement etc), ‘conflicts’ and ‘control room’ related processes.
  • Suitable candidates may be from a banking (likely ‘private side’ or ‘IBD) background, or a hedge fund with MNPI exposure through diversity of investment strategies.
  • Demonstrable capability in ‘business partnering’ in an advisory context with trading or deal teams; capable of delivering impactful training and promoting awareness of compliance culture.


Please note this role is office based, in Midtown, NYC. Employees are expected to work in office 4 days per week.


For more information, or to schedule an informal call, please click apply