Compliance Officer

A leading investment management firm is seeking an experienced Compliance Officer to oversee regulatory compliance across its trading activities. This role combines hands-on trading desk advisory, surveillance oversight, regulatory expertise, and compliance program development.The ideal candidate will bring a strong understanding of securities regulations, experience supporting investment professionals, and the ability to improve trading controls in a fast-paced environment.Key ResponsibilitiesServe as a primary compliance resource for traders and investment professionals, advising on trading restrictions, approvals, and regulatory obligations.Oversee and strengthen trade monitoring controls, including pre-execution reviews, post-trade surveillance, alert analysis, and exception management.Evaluate trading patterns, investigate potential compliance violations, and recommend appropriate corrective actions.Collaborate with portfolio managers, trading operations, legal, risk, and technology teams to address regulatory and operational challenges.Assess compliance considerations associated with new investment strategies, financial instruments, and trading markets.Lead initiatives to improve surveillance technology, automated monitoring, reporting capabilities, and internal controls.Manage compliance-related projects, coordinating stakeholders and ensuring timely implementation of regulatory and process changes.Prepare investigation findings, risk assessments, and recommendations for senior management.Develop trading compliance policies, procedures, and training programs to support regulatory adherence.Stay informed of evolving securities regulations and market practices, translating developments into practical business guidance.Required QualificationsJuris Doctor (JD) from an accredited law school and active bar admission.Minimum 5 years of compliance experience within an asset manager, hedge fund, or broker-dealer, with direct exposure to trading compliance.Strong knowledge of U.S. securities regulations, trading practices, and market conduct requirements.Demonstrated experience developing, managing, or enhancing pre-trade and post-trade surveillance programs.Proven ability to advise traders, portfolio managers, and trading operations teams on time-sensitive compliance matters.Experience reviewing trading activity, interpreting surveillance alerts, and conducting compliance investigations.Strong background in preparing investigative reports, escalation documentation, and remediation recommendations.Experience leading cross-functional initiatives involving compliance policies, technology, or operational improvements.Excellent communication, analytical, and stakeholder management skills, with sound judgment and a strong commitment to professional integrity.