A growing Hedge Fund is seeking a Senior Trade & Investment Compliance Lead reporting directly into GC/CCO. This individual will ensure that all trading activities within the firm adhere to regulatory requirements and internal policies, will monitor and review trading activities, provide compliance guidance, and implement controls to mitigate risks.
Qualifications and Responsibilities of the Investment & Trade Compliance Lead:
- Undergraduate Degree from an accredited school
- 7+ Years of experience; Either from another Hedge Fund or Financial Services Firm
- Extensive knowledge of markets and trading practices across asset classes (equities, fixed income, structured products, derivatives, etc.).
- Develop, review, and update trading compliance policies and procedures to align with regulatory requirements and industry best practices.
- Ensure trading activities comply with the firm's policies and regulations.
- Implement and enforce trading compliance policies and procedures.
- Perform daily trade surveillance to identify and investigate potential compliance issues, such as market abuse and insider trading.
- Evaluate and mitigate trading and investment risks for new and existing investments and investment vehicles.
- Work and interact cross-functionally across the trading team and other business units
- Ability to think on your feet, Proactive, Eye for detail, great communication skills, team player
