Director, Trade Compliance
An established investment management firm is seeking a Director of Trade Compliance to lead and oversee all aspects of trade compliance within the organization. This critical role involves ensuring that the firm's trading activities comply with all applicable regulatory requirements and internal policies while mitigating compliance risks. The ideal candidate will possess a deep understanding of financial markets, trading regulations, and the ability to make data-driven decisions.
Core Responsibilities:
Conduct daily trade allocation reviews to ensure proper execution and compliance.
Monitor and conduct daily trade surveillance to identify and investigate potential issues, including market abuse and insider trading.
Generate reports for senior management on compliance issues and trends
Ensure adherence to client guidelines, internal restrictions, and surveillance systems.
Develop, review, and update trading compliance policies to ensure alignment with regulatory standards.
Ensure that all trading activities comply with the firm's internal policies.
Qualifications:
7+ years in trade compliance within a financial services firm or hedge fund, with a strong understanding of the Investment Advisers Act of 1940 and related compliance matters.
Bachelors degree (required).
Knowledge of financial markets and trading practices across asset classes, including equities, fixed income, structured products, and derivatives.
The successful candidate will be a forward-thinking, proactive individual with the ability to collaborate effectively with various teams while maintaining a strong sense of independence and urgency. A high level of discretion and confidentiality is essential in this role.
If you are a resourceful, analytical, and experienced trade compliance professional looking for an exciting opportunity to lead and shape the future of a dynamic organization, we encourage you to apply.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your cv so you can be considered for roles that have yet to be created.
Yes, we help with cv and interview preparation. From customised support on how to optimise your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.