Compliance Officer

Hedge Fund Client

Office Status: Hybrid

Client is a$60 billion Hedge Fund


  • Assisting the CCO with developing and coordinating a compliance program around automated trading with a focus on a wholesale market making and related client facing businesses.
  • Demonstrate microstructure knowledge of how markets work, issues residing in the markets and be able to speak of the impact they have had on their business counterparts.
  • Significant demonstrable experience with Best Execution, Trade Reporting, CAT Reporting, Reg NMS, and Reg SHO.
  • Conduct surveillance reviews, draft supervisory procedures, respond to regulatory inquiries for all businesses.
  • Collaborate with securities regulators and examiners.
  • Build deep and positive relationships with coverage areas and counterparts in other supporting roles (legal, ops etc.).
  • Be upbeat and passionate about digging into the details; demonstrate a thirst for knowledge and learning.
  • Build out compliance programs around new businesses as needed.
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