Global Markets Compliance Officer & Head of Control Room

Schonfeld; New York (NY); On-site; USD 200,000 - 230,000; Full time

Job summary

A leading investment firm is seeking a Global Markets Compliance Officer & Head of Control Room for their New York office. The ideal candidate will have substantial experience in compliance within capital markets, specifically with equity and credit markets. Responsibilities include managing control room activities, engaging with business partners, and ensuring adherence to regulatory standards. The firm values a collaborative culture, emphasizing diversity and continuous improvement among its employees.

Qualifications

• Experience in managing control room operations and compliance.
• Familiarity with IPOs, secondary offerings, and similar deal structures.
• Self-motivated and able to manage a diverse workload.

Responsibilities

• Act as point of contact for Compliance management.
• Lead Control Room initiatives on market practices.
• Provide advice and training to investment personnel.

Skills

Attention to detail

Problem solving

Communication

Organizational skills

Education

5-7 years’ experience in a multi-manager firm

Job description

Global Markets Compliance Officer & Head of Control Room

New York, New York, United States

The Role We are seeking to hire an exceptional Global Markets Compliance Officer & Head of Control Room for our New York office. As the Global Markets Compliance Officer & Head of Control Room you will act as subject matter expert for regulations that apply to the market infrastructure, and investment and trading elements of Schonfeld’s business lines. This role will have a focus on capital markets business lines, covering both equity and credit markets, as well as covering advisory support for trading policy. You will need to be familiar with discretionary equity market mechanics, including regulations surrounding various deal profiles such as IPOs, secondary offerings, PIPEs, debt offerings, mergers and acquisitions, private placements, and rights issues. You will need experience in managing control room operations, including overseeing wall-crosses, handling inadvertent MNPI, and maintaining information barriers. This position requires flexibility to also support the wider compliance department with activities outside of the listed responsibilities.

What you’ll do

• Act as point of contact and manage key relationships with business line partners for Compliance.
• Lead, develop and manage Control Room initiatives and activity globally, including wall crosses, market soundings, MNPI and confidential information control, as well as related policy and procedure development.
• Provide guidance and coaching to other members of the control room and the Compliance department.
• Providing compliance advice and training to investment personnel on their activities; including managing the flow of live trading queries and responding in a timely risk-based fashion.
• Engage in the review of, and input into the approval for new investment instruments, products, strategies, technology, models, trading venues, and trading activities.
• Act as compliance SME as needed for relevant business change initiatives.
• Act as an escalation line for compliance program monitoring, testing, risk assessments, trade surveillance, and control evaluations connected to your coverage area.
• Act as first line response for exchange and regulator queries related to US market activity.
• Support and preparation of relevant business coverage for formal examinations.
• Track and lead regulatory change initiatives connected to relevant market structure and investment related regulatory change.
• Support the wider Global Markets Advisory team and Compliance department as needed.

What you’ll bring
What you need:

• 5-7 years’ experience preferably in a multi-manager firm in a similar role, covering fundamental equity, credit, capital markets or similar discretionary strategies.
• Practical knowledge and experience of deal structures such as IPOs, secondary offerings, PIPEs, debt offerings, mergers and acquisitions, private placements, and rights issues
• Experience in maintaining control room restrictions and approving various deals for multiple investment teams
• Highly self-motivated, organized, and attentive to detail.
• Capable of managing a diverse workload and prioritizing tasks in a fast-paced corporate environment. Structured, methodical, and consistent in execution.
• Adaptable and open to change, a natural problem solver and lateral thinker.
• Calm and concise communicator, collaborative and able to engage well with staff of varying roles and seniority.
• Firm and team first in thinking.

Who we areSchonfeld Strategic Advisors is a global multi-strategy, multi-manager investment platform that harnesses the transformative power of people to perform in all market environments. Our dynamic culture inspires better outcomes for our team, our investors, and our partners. We aim to consistently deliver risk-adjusted returns, with people driving performance.

We specialize in four core strategies: Quantitative Trading, Fundamental Equity, Tactical Trading, and Discretionary Macro & Fixed Income. We capitalize on inefficiencies and opportunities within the markets, drawing from a significant investment in proprietary technology, infrastructure, and risk analytics.

We invest through internal portfolio managers and external partner funds, pursuing alignment among investors, investment professionals, and the firm. Our footprint spans 7 countries and 19 offices.

Our CultureTalent is our strategy. We believe our success is because of our people, so putting our talent above all else is our top priority. We are teamwork-oriented, and collaborative, and encourage ideas—at all levels—to be shared. As an organization committed to investing in our people, we provide learning & educational offerings and opportunities to make an impact.

We foster a sense of belonging among all of our employees with Diversity, Equity, and Inclusion at the forefront of this mission. Our employees value diversity across identity, thought, people, and perspective which serves as the foundation of our culture. As a firm, we are committed to creating a hiring process that is fair, welcoming, and supportive.

The base pay for this role is expected to be between $200,000.00 and $230,000.00. The expected base pay range is based on information at the time this post was generated. This role may also be eligible for other forms of compensation such as a performance bonus and a competitive benefits package. Actual compensation for the successful candidate will be determined based on a variety of factors such as skills, qualifications, and experience.

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