Trading Compliance Advisory Counsel

Atlantic Group; New York (NY); On-site; USD 125,000 - 175,000; Full time

Job summary

Atlantic Group in New York, NY is seeking a Trading Compliance Advisory Counsel to guide investment activities, ensure regulatory compliance, and support cross-functional teams in a dynamic investment management environment.

The role focuses on advisory for trading, product review, risk management, and regulatory inquiries, with a hybrid work schedule and competitive compensation.

Qualifications

• JD required; active bar admission.
• 3–7 years of legal or compliance experience in investment or trading.
• Knowledge of securities and commodities regulations and regulatory compliance required.
• Experience with compliance monitoring and trade surveillance.

Responsibilities

• Provide legal and compliance guidance related to investment activities, trading practices, financial products, and applicable regulatory requirements.
• Support pre-trade and post-trade compliance controls, surveillance, investigations, and issue resolution.
• Evaluate compliance considerations for new investment products, markets, and counterparties.
• Monitor securities and commodities regulations and assist with regulatory inquiries and policy updates.
• Conduct compliance reviews, document findings, and support remediation and escalation processes.
• Collaborate with investment, legal, risk, operations, and technology teams on compliance initiatives.

Skills

Legal judgment

Analytical ability

Communication

Attention to detail

Stakeholder management

Multi-tasking

Education

Juris Doctor (JD) degree

Tools

Trade surveillance systems

Regulatory research tools

Internal controls frameworks

Job description

Job Overview – Trading Compliance Advisory Counsel

Compensation: $125,000–$175,000/year + bonus

Location: New York, NY

Schedule: Monday to Friday (Hybrid)

Atlantic Group is hiring a Trading Compliance Advisory Counsel in New York, NY for our client, supporting regulatory compliance and legal matters within an investment management environment. This role will provide guidance on investment and trading activities, regulatory requirements, compliance policies, and internal controls while collaborating with legal, compliance, investment, and operational teams. The ideal candidate is an attorney with experience in investment management, financial services, securities, or regulatory compliance.

Responsibilities as the Trading Compliance Advisory Counsel:

• Compliance Advisory: Provide legal and compliance guidance related to investment activities, trading practices, financial products, and applicable regulatory requirements.
• Trading Oversight: Support pre-trade and post-trade compliance controls, surveillance processes, investigations, and resolution of potential trading issues.
• Product Review: Evaluate compliance considerations associated with new investment products, markets, counterparties, and trading activities.
• Regulatory Compliance: Monitor securities and commodities regulations and assist with regulatory inquiries, examinations, policies, and procedural updates.
• Risk Management: Conduct compliance reviews, document findings, address potential issues, and support appropriate remediation and escalation processes.
• Cross-Functional Support: Partner with investment, legal, risk, operations, and technology teams on compliance initiatives, training, and control enhancements.

Qualifications for the Trading Compliance Advisory Counsel:

• Education: Juris Doctor (JD) degree from an accredited law school is required.
• Licensure: Active bar admission is required.
• Experience: 3–7 years of legal or compliance experience supporting investment or trading activities within an asset manager, hedge fund, broker-dealer, or relevant law firm practice is required.
• Industry Knowledge: Knowledge of investment products, securities and commodities regulations, trading activities, and regulatory compliance requirements is required.
• Technical Skills: Experience with compliance monitoring, trade surveillance, regulatory research, internal controls, and investment compliance processes is required.
• Skills & Attributes: Strong legal judgment, analytical ability, communication, attention to detail, stakeholder management, and ability to manage multiple priorities are required.