Seeking a compliance expert to elevate surveillance of discretionary trading at a top hedge fund. Collaborate with the compliance team to refine the firm's strategy in preventing and detecting nonpublic information misuse. Take the lead on projects aimed at advancing technology and processes to bolster these objectives.
- Collaborate in shaping the team's strategy for overseeing discretionary trading within the firm.
- Support the team in developing policies and procedures aimed at preventing and detecting nonpublic information misuse.
- Manage policies governing the acquisition of research, data, and external expertise.
- Conduct training for investment professionals to enhance their ability to identify and address potential risks.
- Academic background in finance/economics
- 3-6 years in regulatory, compliance, or surveillance roles.
- Familiarity with financial markets and regulations (e.g., Advisers Act Section 204A, SEC Rule 10b-5, EU Market Abuse Regulation).
- Problem-solving ability, creativity, and strategic thinking.