A highly reputable Investment Adviser is looking for a Senior Compliance Officer to join their Legal and Compliance Team! The Senior Compliance officer will oversee the Trade Compliane area and implement pre-and post-trade check ins. This is a hybrid role in New York City.
Responsibilities:
- Onboard new PMs on Trade Compliance asset classes (Reg M, Reg SHO, trade allocation, etc)
- Oversee and manage the trade surveillance area
- Integrate third party software
- Assist with regulatory exams (SEC, NFA/CFTC)
- Assist with regulatory filings (ADV, PF)
Requirements:
- 6 YOE at a RIA firm
- Ability to work in a fast paced enviornment
- Direct experience with trade compliance
- Knowledge of MS Excel
