Our client, a well established and highly reputable 2.5 billion Hedge Fund located in Greenwich, CT. is seeking a Compliance professional with trade and trading surveillance experience to join their compliance team. Due to growth, this is a newly created position that will report to the Chief Operating Officer and Chief Compliance Officer.
About the Job:
- Areas to be monitored and managed include:
- Regulatory filings
- Restricted list
- Short sales
- Trade errors
- Best execution reviews
- Soft dollar services
- Conduct ongoing internal surveillance of trading
- Develop, maintain and monitor compliance policies and procedures relevant to the areas for which he or she is responsible;
- Monitor the news, regulatory updates and regulatory actions related to their specialty to ensure the firm’s policies, procedures and practices are in compliance with current guidance, industry practices and that all “hot topics” have been addressed or considered
- Understand the dynamic relationship between compliance requirements and business practices to liaise with other departments and use/assist in the development of technology to achieve efficiency where possible.
- 3-7 years of related trade/trading surveillance experience at a hedge fund or bank
- Knowledge of hedge fund regulations
- Four year college degree