As Manager, Compliance - Control Room, you will be the manager of our compliance control room, which is tasked with identifying and resolving unusual trading patterns, anomalies, and other near real time compliance issues related to our hedge fund's quantitative trading strategies. Reporting to the Global Chief Compliance Officer, you will build and oversee a team of compliance, legal, and financial professionals and determine how they are best deployed. This role stops problems before they start and plays a critical role in ensuring the firm stays compliant through unforeseen operational issues and in turbulent markets in the US and abroad.
Responsibilities- Draft and maintain appropriate policies and procedures for our real time and near real time compliance monitoring program
- Ensure all trading related issues are appropriately escalated, documented, and dispositioned
- Develop key performance indicators and regular reporting on the control room function to the Global CCO and other senior executives
- Lead cross-functional projects and drive execution across multiple departments
- Manage and develop a high-performing team, overseeing hiring, training, workload allocation, and day-to-day leadership
Requirements- 8-12+ years in a trading, operations, or compliance role at a large financial industry firm (e.g., hedge fund, investment adviser, broker-dealer)
- 2+ years in a management position, overseeing multiple direct reports of varying seniority
- Experience communicating effectively across compliance, finance, legal, operations, and senior leadership
- Deep understanding of trading mechanics in multiple asset classes (e.g., equities, options, futures, FX)
- Familiarity with financial industry rules, like trade reporting and the anti-fraud provisions of various federal rules (e.g., Investment Advisers Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act).
- Bachelor's degree required
Responsibilities- Build out a suite of monitoring reports that actively reviews algorithmic trading for anomalies and suspected breach of SEC, FINRA and CFTC rules.
- Develop a case management protocol for follow up on suspected anomalies and potential rule violations
- Supervise the work of junior compliance analysts who prepare trading related regulatory filings
- Work with the Global Chief Compliance Officer to manage interactions with US and overseas regulators
- Document trade errors and work with trading and operations teams to ensure that repeat errors with the same criteria do not occur
Friends of Voleon" Candidate Referral Program If you have a great candidate in mind for this role and would like to have the potential to earn $7,500 if your referred candidate is successfully hired and employed by The Voleon Group, please use this form to submit your referral. For more details regarding eligibility, terms and conditions please make sure to review the Voleon Referral Bonus Program.
