Compliance Officer
2 weeks ago
We are supporting a Compliance Analyst role within the Trading Compliance team at a leading global investment firm. This hands-on, builder-focused position acts as the right hand to the Head of Trading Compliance. Youll be responsible for developing and executing the compliance program across the firms trading activities, conducting research on rules and regulations, summarizing actionable insights for senior stakeholders, maintaining a regulatory horizon scanning process to stay current on changes, and supporting regulatory reporting obligations while improving existing processes. You will also help build and refine pre-trade and post-trade controls in collaboration with engineering teams to calibrate automated surveillance logic and validate data, as well as lead trade surveillance monitoring, including the review and investigation of market abuse exceptions and limit breaches. If youre passionate about markets, enjoy tackling complex compliance challenges, and want exposure to both regulatory frameworks and trading operations, this could be an excellent fit. Role Overview Play a key role in helping the HoTC build the compliance program for a world class quant fund Conduct targeted research of rules and regulations Assist in implementing and maintaining a regulatory horizon scanning process to ensure the Firm is current with regulatory change Provide clear and concise summaries of rules and regulatory developments that are actionable for the HoTC and other senior stakeholders Assist with the Firms regulatory reporting obligations (e.g., EU short position disclosure reporting) including helping the HoTC in the efforts to review and improve upon existing reporting processes and execute on certain filing obligations Support the build-out and enhancement of pre-trade and post-trade controls, including working with engineering teams to refine automated surveillance logic, calibrate thresholds, and validate data inputs Lead the trade surveillance monitoring process including review, investigation and management of market abuse exceptions and limit breaches Assist in reviewing and approving new trading strategies, venues, counterparties, and products, ensuring regulatory and internal requirements are met Participate in periodic risk assessments and control testing, helping the HoTC identify gaps, propose enhancements, and track remediation Contribute to training initiatives, including designing modules that help educate quants, engineers, and traders on relevant rules and compliance expectations
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Compliance Officer
2 weeks ago
Greenwich, CT, United States Madison-Davis, LLC Full timeWe are supporting a Compliance Analyst role within the Trading Compliance team at a leading global investment firm. This hands-on, builder-focused position acts as the right hand to the Head of Trading Compliance. You’ll be responsible for developing and executing the compliance program across the firm’s trading activities, conducting research on rules...
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Compliance Officer
1 week ago
Greenwich, United States Madison-Davis, LLC Full timeWe are supporting a Compliance Analyst role within the Trading Compliance team at a leading global investment firm. This hands-on, builder-focused position acts as the right hand to the Head of Trading Compliance. You’ll be responsible for developing and executing the compliance program across the firm’s trading activities, conducting research on rules...
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Compliance Officer
2 weeks ago
Greenwich, United States Madison-Davis, LLC Full timeWe are supporting a Compliance Analyst role within the Trading Compliance team at a leading global investment firm. This hands-on, builder-focused position acts as the right hand to the Head of Trading Compliance. You’ll be responsible for developing and executing the compliance program across the firm’s trading activities, conducting research on rules...
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Compliance Officers
2 weeks ago
Hartford, CT, United States JW Michaels & Co. Full timeWell-regarded investment management firm is seeking an experienced Compliance Officer to join their dynamic team. This position leads the team responsible for all matters related to the implementation of the Firm's Code of Conduct and Adviser Code of Ethics, as well as the Gifts, Entertainment and Inducements, Outside Activities, Political and PAC...
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Compliance Officer
2 weeks ago
Hartford, CT, United States JW Michaels & Co. Full timeWell-regarded investment management firm is seeking an experienced Compliance Officer to join their dynamic team. This position leads the team responsible for all matters related to the implementation of the Firm's Code of Conduct and Adviser Code of Ethics, as well as the Gifts, Entertainment and Inducements, Outside Activities, Political and PAC...
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Compliance Officer
2 weeks ago
Hartford, CT, United States JW Michaels & Co. Full timeWell-regarded investment management firm is seeking an experienced Compliance Officer to join their dynamic team. This position leads the team responsible for all matters related to the implementation of the Firm's Code of Conduct and Adviser Code of Ethics, as well as the Gifts, Entertainment and Inducements, Outside Activities, Political and PAC...
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Compliance Officer
2 weeks ago
Greenwich, United States Madison-Davis, LLC Full timeWe are supporting a Compliance Analyst role within the Trading Compliance team at a leading global investment firm. This hands-on, builder-focused position acts as the right hand to the Head of Trading Compliance. Youll be responsible for developing and executing the compliance program across the firms trading activities, conducting research on rules and...
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Senior Compliance Officer
2 days ago
Old Greenwich, CT, United States Millennium Management Full timeSenior Compliance Officer Position Details Provide ongoing compliance support to WorldQuant Millennium Advisors ("WMA") Conduct ongoing WMA compliance reviews Address compliance-related items for the launches of new WMA funds and separately managed accounts ("SMAs") Assist with regulatory examinations, inquiries, investigations and projects, as necessary...
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Senior Compliance Officer
1 hour ago
Old Greenwich, CT, United States Millennium Management Full timeSenior Compliance Officer Position Details Provide ongoing compliance support to WorldQuant Millennium Advisors ("WMA") Conduct ongoing WMA compliance reviews Address compliance-related items for the launches of new WMA funds and separately managed accounts ("SMAs") Assist with regulatory examinations, inquiries, investigations and projects, as necessary...
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Chief Compliance
2 weeks ago
Greenwich, CT, United States Ascendo Resources Full timeA newly formed, de novo bank focused on private credit and private equity investment activities for accredited investors is seeking a Chief Compliance & Legal Counsel. This is a senior leadership role responsible for building and overseeing the institution’s legal and regulatory compliance framework from inception. The successful candidate will serve...
