Front-Office Compliance Advisor for Global Markets

JCW Group; New York (NY); On-site; USD 110,000 - 140,000; Full time

Job summary

JCW Group partners with a leading global investment firm to hire a Compliance Associate for a front-office advisory role. You’ll work directly with portfolio managers and traders, providing real-time compliance guidance across rates, FX and derivatives.

The role emphasizes practical controls, monitoring, investigations, policy updates, and training, with opportunities to influence trading teams and regulatory responses across global markets.

Qualifications

• JD from an accredited law school and active bar admission.
• Compliance experience supporting trading businesses at a hedge fund, asset manager or broker-dealer.
• Direct coverage of products such as interest rate swaps, sovereign bonds, FX, credit, ABS, commodities and derivatives.
• Strong working knowledge of SEC Rule 10b-5, CFTC Rule 180.1 and MNPI analysis.
• Experience with trade surveillance, pre-trade controls or post-trade investigations.
• Excellent communicator – confident on the phone with PMs and able to explain complex legal concepts simply.
• Sound judgement and collaborative approach.

Responsibilities

• Advising PMs and trading teams on day-to-day compliance matters and embedding practical, real-time controls
• Supporting pre- and post-trade monitoring and investigating potential trading, market conduct and policy breaches
• Reviewing and approving new products, markets, brokers and counterparties
• Leading compliance reviews and investigations, producing clear findings and remediation plans
• Supporting regulatory exams and inquiries relating to trading
• Tracking global regulatory change and turning it into practical policy updates
• Delivering compliance training to investment teams
• Chaperoning calls and meetings between investment professionals and third parties
• Acting as the go-to compliance expert for both the compliance team and the business

Skills

Compliance

Trading experience

Regulatory knowledge

Communication skills

Analytical thinking

Education

JD from law school

Job description

JCW Group partners with a leading global investment firm to hire a Compliance Associate for a front-office advisory role. You’ll work directly with portfolio managers and traders, providing real-time compliance guidance across rates, FX and derivatives.

The role emphasizes practical controls, monitoring, investigations, policy updates, and training, with opportunities to influence trading teams and regulatory responses across global markets.