Compliance Officer

JW Michaels & Co.; New York (NY); Hybrid; USD 120,000 - 180,000; Full time

Job summary

JW Michaels & Co. in New York is seeking a Compliance Officer to join our team on a hybrid schedule, with four days in office. This role focuses on real-time trading compliance coverage and ensuring adherence to U.S. securities laws.

You will collaborate across legal, risk, operations, finance, technology and vendors, enhance surveillance programs, and guide traders and portfolio managers on compliant go-to-market execution.

Qualifications

• 4-year degree and JD is a strong plus but not required.
• 5-7 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance.
• Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct.
• Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs.
• Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice.
• Proven ability to analyze trading activity and alert data.
• Track record of leading cross-functional projects to implement policy, system, or process changes related to trading.

Responsibilities

• Provide real-time compliance coverage for traders, providing trade approvals and trading conduct
• Support the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring
• Work collaboratively with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions
• Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues
• Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation
• Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders

Skills

Trading compliance

Regulatory knowledge

Data analysis

Cross-functional collaboration

Education

Bachelor's degree in a related field

JD (strong plus)

Job description

Global investment management firm is seeking a compliance officer to join their dynamic team.

Strong expertise with Trading Compliance is required, JD is a plus. They are on a hybrid schedule and working 4 days in office.

Duties and Responsibilities:

• Provide real-time compliance coverage for traders, providing trade approvals and trading conduct
• Support the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring
• Work collaboratively with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions
• Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues
• Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation
• Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders

Qualifications:

• 4 year degree and a JD is a strong plus but not required
• 5-7 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance
• Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct
• Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs
• Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice
• Proven ability to analyze trading activity and alert data
• Experience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans
• Track record of leading cross-functional projects to implement policy, system, or process changes related to trading

The firms offers an amazing benefits package!