Senior Manager, Trade Surveillance

Confidential; Columbus (OH); Sur place; USD 140 000 - 180 000; Plein temps

Résumé du poste

Confidential, a leading investment firm, seeks a Senior Manager, Trade Surveillance to oversee the firm's trading compliance monitoring across investment activities. The role partners with legal, compliance, operations, and technology to strengthen processes and controls.

You will guide pre-trade and post-trade surveillance, assess alerts, investigate exceptions, and support regulatory examinations while mentoring traders and portfolio managers.

Qualifications

• Bachelor's degree required.
• At least eight years of trade surveillance and compliance experience in financial services.
• Experience with Bloomberg AIM CMGR and VMGR or similar platforms.
• Strong knowledge of U.S. securities regulations and surveillance practices.
• Excellent analytical, investigative, and stakeholder management skills.

Responsabilités

• Provide timely compliance guidance on trading operations, approval processes, market conduct, and regulatory requirements.
• Manage pre-trade and post-trade monitoring and improve surveillance controls.
• Monitor portfolios for adherence to investment guidelines and restrictions.
• Analyze trading exceptions, document findings, and develop remediation recommendations.
• Oversee surveillance system effectiveness, including alert calibration and data integrity.
• Collaborate with legal, risk, operations, and technology teams to implement compliance systems and reporting tools.
• Develop and deliver compliance training for traders and portfolio managers.
• Support regulatory examinations and internal audits related to trading and portfolio management.

Connaissances

Trading surveillance

Compliance knowledge

Analytical skills

Project management

Stakeholder management

Communication

Leadership

Formation

Bachelor's degree

Outils

Bloomberg AIM CMGR

VMGR

Description du poste

A successful investment firm is expanding, we are looking for a Senior Manager, Trade Surveillance to oversee the firm’s trading and portfolio compliance monitoring function across investment activities. The Senior Manager, Trade Surveillance will also assist with regulatory oversight functions and risk management process implementation and enhancement. By providing real-time guidance to trading professionals, enhancing pre-trade and post-trade controls, and investigating potential trading exceptions, the Senior Manager, Trade Surveillance is an integral component to the trading operations and compliance functions within the firm. The position will also partner with legal, compliance, operations, and technology teams to strengthen compliance processes, systems, and regulatory initiatives.

Primary Responsibilities

• Trading Compliance: Provide timely compliance guidance on trading operations, approval processes, market conduct, and regulatory requirements.
• Trade Surveillance: Manage and enhance pre-trade and post-trade monitoring, including alert review, escalation, and surveillance control improvements.
• Portfolio Compliance: Monitor portfolios for adherence to investment guidelines and restrictions, including fund and pool prospectus, private placement memorandum, information statements documents and client investment policy statements.
• Investigations: Analyze trading exceptions and potential compliance issues, document findings, and develop remediation recommendations.
• Market Abuse and Conduct Surveillance: Oversee surveillance system effectiveness, including alert calibration, exception reporting, control design, data integrity, and enhancement initiatives.
• Surveillance Technology Ownership: Oversee surveillance system effectiveness, including alert calibration, exception reporting, control design, data integrity, and enhancement initiatives.
• Regulatory Advisor: Monitor regulatory investment limits per applicable Rule 38a-1 and Rule 206(4)-7 requirements; evaluate regulatory developments and support updates to trading policies, procedures, and internal controls.
• Cross-Functional Projects: Partner with legal, risk, operations, and technology teams to implement compliance systems, reporting tools, and process enhancements generally relating to trading and operations.
• Training & Guidance: Develop and deliver compliance training and practical guidance for traders, portfolio managers, and other investment professionals.
• Risk Management: Participate in monitoring, assessing and managing risks throughout the firm; perform testing and monitoring functions to assess controls.
• Regulatory Examination Support: Support regulatory examinations, internal audits, information requests, and compliance testing activities relating to trading and portfolio management processes.

Qualifications and Experience

• Bachelor's degree is required.
• At least eight years of trade surveillance and compliance experience within an investment manager, hedge fund, broker-dealer, or similar financial services environment is required.
• Experience with Trading/IBOR/OMS systems, specifically with knowledge of Bloomberg AIM CMGR and VMGR or comparable compliance platform.
• Strong knowledge of U.S. securities regulations, market conduct requirements, trading controls, and pre-trade and post-trade surveillance practices is required.
• Experience analyzing trading activity, surveillance alerts, compliance data, and automated monitoring tools is required.
• Strong analytical, investigative, project management, communication, and stakeholder management skills.
• Ability to provide clear guidance, manage complex compliance matters, and maintain high ethical standards.
• Comfortable working with portfolio managers, traders, compliance and leadership personnel within an asset management firm, as well as with various representatives of technology vendors.
• Highly proficient understanding and use of Microsoft Office suite and various compliance and risk technology tools.
• Strong ability to work independently, exercise professional judgment, and manage complex responsibilities with minimal day‑to‑day supervision while maintaining accountability for results.