Compliance Specialist- Monitoring

2 weeks ago

Greenwich CT, United States Madison-Davis, LLC Full time

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. You’ll be responsible for developing and executing the compliance program across the firm’s 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 you’re passionate about markets, enjoy tackling complex compliance challenges, and want exposure to both regulatory frameworks and trading operations, this could be an excellent fit.
Play a key role in helping the HoTC build the compliance program for a world class quant fund
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 Firm’s 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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