An international Investment Management Firm is hiring for a Trade Compliance Officer in their New York City office! This role will be performed on a hybrid schedule (4 days in office / week) and will report directly to the Senior Compliance Officer.
Responsibilities:
- Conduct reviews of trade surveillance to identify any breaches of laws or firm policies
- Implement trading system policies to ensure compliance across business
- Analysze wall drosses and PIPE / SPAC offerings
- Use vendor surveillance tools (equity and futures)
Requirements:
- 3-5 YOE at an RIA or BD firm
- Bachelor's degree
- Effective communication skills
- Ability to think critically and analytically in a fast-paced enviornment
