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Senior Regulatory Compliance Specialist

2 months ago

New York, New York, United States Bruin Full time

Company Overview

Bruin is a prestigious family office, akin to a hedge fund, dedicated to maintaining high standards of compliance within the financial sector.

Position Summary

We are currently seeking a seasoned Senior Compliance Officer to enhance our New York operations. This role is pivotal in providing regulatory guidance for Equity Capital Markets (ECM) activities and ensuring robust compliance controls.

Key Responsibilities

  • Act as the primary regulatory advisory contact for ECM activities, including wall crossing and handling Material Non-Public Information (MNPI).
  • Support the Group Head of Compliance and the US Head of Legal in navigating complex regulatory landscapes.
  • Engage in comprehensive policy drafting, risk assessments, and surveillance initiatives across the US operations.

Candidate Profile

The ideal candidate will possess:

  • A minimum of 7 years of compliance advisory experience, particularly in ECM activities such as IPOs, block trades, and private placements.
  • A background in banking (preferably from the private side or Investment Banking Division) or a hedge fund with exposure to MNPI through diverse investment strategies.
  • Proven ability to partner with trading or deal teams in an advisory capacity, delivering impactful training and fostering a strong compliance culture.

Work Environment

This position is office-based, with a requirement for employees to work on-site four days a week.

For further details about this opportunity, please reach out for an informal discussion.