Compliance Officer, Trading Compliance
3 weeks ago
Compliance Officer, Trading Compliance
LocationNew York
PostedPosted 40 Days Ago
CodeREQ5643
Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to a Senior Compliance Officer and will work closely with both the Compliance and Legal Departments. The primary focus will be to identify and assess compliance risk while conducting trade surveillance.
In the role of Compliance Officer in the New York office, the employee will be responsible for the following:
Conduct reviews of trade surveillance alerts to identify unusual activity or potential violations of securities laws, regulations, or Firm policies in a manner that ensures that the review/investigations are conducted with the highest quality Utilize vendor surveillance tools and internal systems to research alerts generated across different asset classes including but not limited to equity, options, futures, and OTC instruments Analyze large amounts of trading data and effectively write objective, evidence-based summaries Help develop and maintain effective trade surveillance program to ensure compliance with relevant legal & regulatory requirements and industry best practices Work with internal BAM technology teams as well as partnering with external vendors to implement new systems and reports Interact with personnel at all levels of the Firm’s various business units (Investment Teams, Operations, Technology, Finance, etc.) to satisfy day-to-day assignments as well as ad-hoc projects. Handle wall crosses, PIPE/SPAC offerings and management of the restricted list Work closely with the trading desk, answer live trade queries regarding disclosure thresholds, risk, and sanctions, Compliance restrictions, etc. Implement changes to trading system rules to ensure compliance with regulatory developmentsEDUCATION/EXPERIENCE & QUALIFICATIONS:
Bachelor’s degree 3-5 years of compliance/legal experience with an investment adviser or broker-dealer Strong analytical skills and ability to problem solve to in a fast-paced environment Detail oriented with strong organizational skills Ability to work independently and juggle multiple tasks when necessary Effective written and verbal communication skills High standard of professionalism and discretion while working with sensitive informationWith respect to NY- and CA-based applicants, the starting base pay range for this role is between $120000 and $150000 annually. The actual base pay is dependent upon several factors, including, but not limited to, relevant experience, business needs and market demands. This role may also be eligible for bonus compensation and employee benefits.
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