Compliance Specialist

Our client, is a multi-strategy hedge fund and investment management firm founded in 1989, headquartered in New York City, this firms operates across major financial centers including London, Hong Kong, and Tokyo. The firm is renowned for its diversified investment strategies, robust risk management, and a strong track record of delivering consistent returns to its investors.

Investment Philosophy and Strategies

Their investment philosophy is centered on a multi-strategy approach that leverages a broad array of investment techniques to capture opportunities across different asset classes and geographies. This diversified strategy allows the firm to mitigate risk and optimize performance regardless of market conditions.

Role: Compliance Associate – Trade Surveillance

Responsibilities

• General electronic communications and trading surveillance reviews, including focus on potential insider trading and market manipulation
• Monitor daily surveillance reports using exception reports and other tools
• Review surveillance alerts, conduct analysis and escalate findings as needed
• Assist the investigation and handling of the inadvertent receipt of material non-public information (MNPI).
• Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters.
• Assist with regulatory examinations, inquiries, investigations and projects, as necessary.
• Draft and amend compliance related policies and procedures
• Monitor regulatory changes, updates and industry-wide compliance initiatives
• Undertake and lead special compliance related projects involving various inter-department stakeholders

Qualifications

• Bachelor’s degree in Finance, Economics or a related field is preferred, with a strong academic record
• 3+ years of experience; prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal
• Experience in the securities and trading industry preferred
• Knowledge of US financial markets preferred
• Previous experience working with third-party surveillance platforms
• Exceptional written, analytical, and research skills and the ability to apply both quantitative and qualitative analysis
• Strong attention to detail, organization, and effective communication skills, both verbal and written
• Ability to work effectively and independently with all levels of management and staff
• Candidate must have strong communication, analytical skills and a desire to learn
• Ability to handle several tasks simultaneously
• Attention to detail and the ability to identify complex problems, review related information to develop and evaluate options
• Must be a phenomenal teammate, able to work with others, enthusiasm for trading markets
• Proficient to advanced computer skills including Bloomberg, MS Outlook, Word, Excel and PowerPoint