Develop and conduct daily, weekly, monthly trade surveillance to detect potential violations of market conduct rules, regulatory obligations, and internal policies.
Analyze and escalate trade exceptions, including best execution outliers, pricing anomalies, and other compliance triggers.
Monitor and track trade errors, assist with root cause analysis, and follow up on resolutions and documentation.
Support the development, onboarding, and enhancement of trade surveillance platforms and exception management tools.
Draft, update, and maintain policies and procedures specific to trading and execution activities.
Perform risk assessments and targeted forensic testing of trading and compliance controls.
Analyze trade data across equities, fixed income, and alternative assets to detect patterns or anomalies.
Partner with data analytics and technology teams to automate surveillance, improve exception reporting, and refine monitoring workflows.
Conduct compliance reviews of new products, trading strategies, and business initiatives to evaluate regulatory risk.
Perform due diligence and conduct screening on transactions against all applicable restricted lists and advise on items involving material non-public information (MNPI).
Stay informed of regulatory developments (e.g., SEC, FINRA, CFTC) impacting trading and execution practices.
Assist with the preparation for and response to regulatory examinations, audits, and internal reviews.
Lead or contribute to ad hoc compliance initiatives and projects as directed by the Chief Compliance Officer.

Requirements

3-7+ years of experience with Compliance or Risk Management with a focus on trading operations and trade surveillance
Bachelor’s degree is required.
Working knowledge and understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 with respect to trading.
Familiarity with regulatory frameworks of SEC, FINRA and CFTC.
Understanding of regulatory requirements for Investment Advisers regarding trading and allocation, and operational books and records requirements.
Ability to identify patterns or anomalies in trading data.
Experience auditing and performing risk assessments on cross functional processes.
Skilled in evaluating potential business impacts and developing recommendations.
Understanding of cybersecurity functions and processes and experience in testing of systems is a plus.
Ability to work on assignments independently, using a high level of judgment and take initiative in resolving problems.
Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline driven environment, and able to solve complex problems in a collaborative manner.
Strong ethical commitment.
Excellent oral and written communication skills.
Limited travel may be required.

Benefits

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Applicant Tracking System Keywords

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Hard Skills & Tools

trade surveillancerisk assessmentsforensic testingdata analysisexception managementauditingcybersecuritypattern recognitionregulatory compliancetrading operations

Soft Skills

detail-orientedorganizedproblem-solvinginitiativejudgmentcollaborativeethical commitmentcommunication skills