Asset Management, Automation, ERISA (Employee Retirement Income Security Act of 1974), Maintain Compliance, Product Strategy, Registered Investment Advisor (RIA), Regulations, Securities and Exchange Commission (SEC), Surveillance, Test Plan/Schedule, Trading/Stockbroking
LOCATION
NY, NY
POSTED
30+ days ago
Growing Asset Management client is seeking a Senior Compliance Officer that will lead its trade compliance function and provide real-time advisory support to trading teams across products, strategies, and regions.
Key Responsibilities:
Lead day-to-day management of the trade compliance program.
Provide on-desk advisory guidance on Rule 105 of Regulation M, Regulation SHO, cross trades, trade allocations, best execution, MNPI, and ERISA considerations.
Oversee pre- and post-trade compliance controls and partner with technology to enhance automation and surveillance systems.
Administer Wall Cross processes and trading restrictions.
Investigate trade surveillance alerts and support regulatory inquiries and examinations, including those from the U.S. Securities and Exchange Commission and Commodity Futures Trading Commission.
Execute compliance monitoring and testing initiatives to strengthen governance and controls.
Qualifications:
6+ years of compliance experience at a registered investment adviser or similar firm.
Strong trade compliance and surveillance expertise, including MNPI, Reg M Rule 105, Reg SHO, and market abuse concepts.
About the Company
P
Phaxis
We stand for PERSEVERANCE, as we refuse to quit when the journey gets tough. Your gold is our mission, and we search day and night to find it.