Qualifications

• Juris Doctorate degree from an accredited law school and bar admission
• 5+ years of compliance experience in investment management, hedge funds, or broker-dealers focusing on trading compliance
• Working knowledge of U.S. securities laws and regulations for trading conduct
• Experience in enhancing pre-trade and post-trade surveillance programs
• Ability to analyze trading activities and interpret alert data
• Experience with compliance investigations and creating clear communication materials
• Proven ability to lead cross-functional compliance projects
• Excellent communication skills with the ability to influence stakeholders

Responsibilities

• Provide compliance coverage for traders, offering guidance on trade approvals
• Enhance the trading compliance program, improving control and monitoring
• Coordinate with legal, risk, operations, and technology to implement compliance solutions
• Develop pre-trade and post-trade surveillance processes and manage alert tuning
• Advise on compliant execution of new trading strategies and market access
• Collaborate with operations and technology to implement automated compliance controls
• Manage compliance projects driven by regulatory changes or internal initiatives
• Investigate trading exceptions and present findings to compliance leadership
• Deliver training to embed compliance practices in trading

Benefits

• Fully-paid health care benefits
• Generous parental and family leave policies
• Volunteer opportunities
• Support for employee-led affinity groups
• Mental and physical wellness programs
• Tuition assistance
• 401(k) savings program with employer match