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Research and Trading Compliance Officer, Large Investment Manager, New York, NY

  • Job type: Permanent
  • Location: New York
  • Salary: Competitive
  • Job reference: 07/20/17
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 20/07/2017

My client is a Large Investment Manager that is seeking a compliance advisory officer for their research and trading team. This client is a technologically driven and advanced organization that is targeting a highly-qualified individual to join their team in this capacity. This is an opportunity to join a rapidly growing organization with a strong reputation in the market.

This position will be responsible for working with business units to deliver a compliance program for trading, data acquisition, research, and portfolio management. The individual will provide guidance and support for regulatory matters for the business, and will assist with the design and implementation of any compliance initiatives.  The candidate will be required to research current and proposed rules that affect the business’s global jurisdictions and will support policies and procedures for the compliance program. Working with the firm’s clients and businesses to analyze new programs and initiatives and maintain those relationships will also be key. Also, working with regulatory filings or audits, training of employees, and helping with the compliance review for the firm is expected.

Requirements:

 

  • 5-8 years of experience at a large broker-dealer, investment advisor, or hedge fund that trades global equities
  • Quantitative/systematic hedge fund, algorithmic trading, or regulator experience is a plus
  • Understanding of regulatory agencies and Investment/Securities law
  • Ability to reassess priorities and work in a dynamic environment
  • Ability to understand problems, think critically, and build relationships within the business
  • Organizational and communication skills to be independent and a team player 

KEYWORDS: TRADING COMPLIANCE; RESEARCH COMPLIANCE; ALGORITHMIC TRADING; REGULATOR; FINRA; SEC; COMPLIANCE; ADVISORY; NEW YORK; NY; MBA; INVESTMENT; 

 

My client is a Large Investment Manager that is seeking a compliance advisory officer for their research and trading team. This client is a technologically driven and advanced organization that is targeting a highly-qualified individual to join their team in this capacity. This is an opportunity to join a rapidly growing organization with a strong reputation in the market.

This position will be responsible for working with business units to deliver a compliance program for trading, data acquisition, research, and portfolio management. The individual will provide guidance and support for regulatory matters for the business, and will assist with the design and implementation of any compliance initiatives.  The candidate will be required to research current and proposed rules that affect the business’s global jurisdictions and will support policies and procedures for the compliance program. Working with the firm’s clients and businesses to analyze new programs and initiatives and maintain those relationships will also be key. Also, working with regulatory filings or audits, training of employees, and helping with the compliance review for the firm is expected.

Requirements: