Compliance Officer, Trading Compliance

3 weeks ago

New York, United States Balyasny Asset Management L.P. Full time
LoadingSorry to interruptCSS Error

Compliance Officer, Trading Compliance

LocationNew York

PostedPosted 52 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 developments

EDUCATION/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 information

With 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.

Loading

  • Compliance Consultancy Director

    4 weeks ago

    New York, New York, United States Compliance Recruitment Solutions Full time

    Compliance Consultancy Director - Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

  • Chief Compliance Officer

    4 weeks ago

    New York, United States Lime Trading Full time

    Chief Compliance Officer Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading for the US markets via various APIs, front-ends, and order management systems. . Lime is a direct member of all of the US Equity Exchanges, has access to all US...

  • Senior Trading Compliance Officer

    1 month ago

    New York, United States Capstone Investment Advisors Full time

    RESPONSIBILITIES: The Senior Compliance Officer will lead the day-to-day management of Capstone’s Global trade compliance practice area and will provide real-time advisory support to Capstone’s trading staff. The ideal candidate is an intellectually curious, dynamic individual who wants to develop skills in a fast-paced environment, has the ability...

  • Compliance Officer

    1 week ago

    New York, United States Anonymous Full time

    Leading Trading Firm is looking to hire a Compliance Officer in New York City.This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team.The ideal candidate will have:Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is required.Testing...

  • Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required

    1 month ago

    New York, NY, United States Compliance Recruitment Solutions Full time

    Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits   New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

  • Compliance Specialist

    2 weeks ago

    New York, United States Global Commodities Trading Company Full time

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary: This position reports...

  • Compliance Specialist

    7 days ago

    New York, United States Global Commodities Trading Company Full time

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Skills, Experience,...

  • Compliance Specialist

    1 week ago

    New York, United States Global Commodities Trading Company Full time

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary:This position reports...

  • Compliance Specialist

    2 weeks ago

    New York, United States Global Commodities Trading Company Full time

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary:This position reports...

  • Compliance Specialist

    2 weeks ago

    New York, United States Global Commodities Trading Company Full time

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary:This position reports...

  • Senior Compliance Officer

    7 days ago

    New York, United States Bloomberg L.P. Full time

    Trade / Export Control - Legal & Compliance. New York, NY - Posted May 17, 2024 - Requisition No. 125360 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up Compliance Officer, Compliance, Officer, Operations, Senior, Trade

  • Compliance Officer

    7 days ago

    New York, United States SCHONFELD STRATEGIC ADVISORS LLC Full time

    The Role We are seeking to hire an exceptional Compliance Officer to join our compliance team in our New York City office. The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The position is responsible for managing...

  • Compliance Officer

    1 week ago

    New York, United States Schonfeld Full time

    The Role We are seeking to hire an exceptional Compliance Officer to join our compliance team in our New York City office. The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The position is responsible for managing...

  • Senior Compliance Officer

    3 weeks ago

    New York, United States Bloomberg L.P. Full time

    Bloomberg Tradebook - Legal & Compliance. New York, NY - Posted Apr 26, 2024 - Requisition No. 124879 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the Compliance Officer, Compliance, Officer, Senior, Regulatory, Project Management, Technology

  • Compliance Officer

    16 hours ago

    New York, New York, United States S&P Global Full time

    About the Role:Grade Level (for internal use):12The Role: Compliance OfficerThe Compliance Officer role is based in Englewood or New York and the successful candidate will be responsible for supporting the implementation and monitoring of the Compliance Program primarily for S&P Global Ratings in North America. The role involves a range of activities,...

  • Buyside Compliance

    1 month ago

    New York, United States Rockwood Search Associates Full time

    Job DescriptionJob DescriptionLarge buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firm’s Compliance program and/or investment-related questions. Some responsibilities...

  • Sr. Analyst, Trade Compliance

    1 day ago

    New York, New York, United States Tapestry Full time

    Coach is a global fashion house founded in New York in 1941. Inspired by the vision of Creative Director Stuart Vevers and the inclusive and courageous spirit of our hometown, we make beautiful things, crafted to last—for you to be yourself in.Coach is part of the Tapestry portfolio – a global house of brands committed to stretching what's possible.A...

  • SEF Compliance Surveillance Lead and Advisory Compliance Officer

    3 weeks ago

    New York, United States Bloomberg L.P. Full time

    Legal & Compliance. New York, NY - Posted Apr 25, 2024 - Requisition No. 124842 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy Compliance, Compliance Officer, Lead, Surveillance, Advisor, Officer, Business Services

  • Trade Surveillance

    3 weeks ago

    New York, United States Lime Trading Full time

    Lime Trading Corp., a financial services company for retail and institutional traders, is ready for the next stage of our growth. Although we are an established company with dedicated investors and long-term clients, Lime Trading is in the midst of an exciting period of expansion. We are thrilled for our rapidly increasing reach in this industry, and we are...

  • Compliance Officer

    7 days ago

    New York, United States Deutsche Bank Full time

    Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - Rates - Vice President Job ID:R0331339 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2024-05-10 Location: New York