Compliance Officer
Core
Subject matter expert for regulations applying to market infrastructure, investment, and trading elements of systematic, Delta 1, index, and macro strategies.
Role type
Senior IC compliance officer (trading and systematic advisory)
Builds
Compliance frameworks, regulatory approvals, and risk controls for systematic trading desks
Domain
Financial services / Hedge funds / Systematic trading
Required skills
Knowledge of non-equity market mechanics, familiarity with futures/fixed income/credit/rates/FX/commodities/volatility/equity index derivatives, understanding of trading venue rules, experience with quantitative models and data analysis, ability to review new investment instruments and strategies, regulatory change management, trade surveillance, control evaluations
Preferred skills
Familiarity with AI elements, coding capability
Technologies
Quantitative models, data analysis techniques, trading technology stacks
Responsibilities
Manage key relationships with business line partners, provide compliance advice and training to investment personnel, review and input into approval for new investment instruments and strategies, act as escalation line for compliance program monitoring and risk assessments, act as first line for exchange and regulator queries, support preparation for formal examinations, track and lead regulatory change initiatives, provide control room support including wall crosses and MNPI control
Seniority
Mid-Senior, hands-on IC