About the Opportunity
Our client is a global, multi-strategy investment management firm headquartered in New York City, seeking a Senior Trade Surveillance Officer to join its Legal & Compliance function. This is a highly visible role supporting front-office trading teams while owning key elements of the firm’s trade compliance and surveillance framework across asset classes and strategies. This individual will sit close to the business, acting as a trusted compliance advisor while also helping to evolve systems, controls, and monitoring processes in a fast-paced trading environment.
The annual base salary range is $150,000 to $200,000. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things. Details about eligibility for bonus compensation (if applicable) will be finalized at the time of offer.
Job Responsibilities
- Serve as the primary owner of the firm’s trade compliance and trade surveillance coverage, supporting trading activity across multiple products, strategies, and regions
- Provide real-time, desk-side compliance guidance to portfolio managers and traders on trading restrictions, execution practices, allocation methodologies, and regulatory considerations
- Oversee and enhance pre-trade and post-trade controls, working closely with internal technology teams and third-party vendors to improve system functionality and coverage
- Maintain and enforce governance standards related to trading activity, including oversight of quantitative and systematic strategies
- Review and manage restricted trading events, including information-sensitive situations and controlled access processes, ensuring proper documentation and controls are in place
- Advise on complex or non-standard transactions, including cross trades, capital markets activity, and suitability considerations
- Lead onboarding and ongoing education for investment professionals on trade compliance topics such as material non-public information, short-sale regulations, sanctions, and allocation practices
- Support regulatory examinations and inquiries by preparing documentation, coordinating responses, and engaging with regulators as needed
- Investigate trade surveillance alerts, determine root causes, document findings, and recommend enhancements to reduce risk and improve efficiency
- Execute components of the compliance monitoring and testing program, developing procedures and partnering with engineers to automate and scale monitoring routines
Job Requirements
- Minimum of 6 years of experience in compliance within an investment management, trading, or advisory environment
- Demonstrated hands-on experience with trade compliance and surveillance, including regulatory frameworks governing short sales, market integrity, and inside information
- Strong analytical mindset with exceptional attention to detail and sound judgment
- Excellent written and verbal communication skills, with the ability to interact confidently with front-office and senior stakeholders
- Exposure to derivatives strategies and complex financial instruments is a plus
- Bachelor’s degree from an accredited institution; advanced legal or regulatory education preferred but not required
- Advanced Excel skills required; experience with data querying or programming languages (e.g., SQL, Python) is a plus
