Senior Trade Surveillance & Compliance Lead

Confidential; Columbus (OH); On-site; USD 140,000 - 180,000; Full time

Job summary

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.

Responsibilities

• 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.

Skills

Trading surveillance

Compliance knowledge

Analytical skills

Project management

Stakeholder management

Communication

Leadership

Education

Bachelor's degree

Tools

Bloomberg AIM CMGR

VMGR

Job description

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.