Compliance Officer

A leading investment management firm is seeking an experienced Compliance Officer to oversee regulatory compliance across its trading activities. This role combines hands-on trading desk advisory, surveillance oversight, regulatory expertise, and compliance program development. The ideal candidate will bring a strong understanding of securities regulations, experience supporting investment professionals, and the ability to improve trading controls in a fast-paced environment. Key Responsibilities * Serve as a primary compliance resource for traders and investment professionals, advising on trading restrictions, approvals, and regulatory obligations. * Oversee and strengthen trade monitoring controls, including pre-execution reviews, post-trade surveillance, alert analysis, and exception management. * Evaluate trading patterns, investigate potential compliance violations, and recommend appropriate corrective actions. * Collaborate with portfolio managers, trading operations, legal, risk, and technology teams to address regulatory and operational challenges. * Assess compliance considerations associated with new investment strategies, financial instruments, and trading markets. * Lead initiatives to improve surveillance technology, automated monitoring, reporting capabilities, and internal controls. * Manage compliance-related projects, coordinating stakeholders and ensuring timely implementation of regulatory and process changes. * Prepare investigation findings, risk assessments, and recommendations for senior management. * Develop trading compliance policies, procedures, and training programs to support regulatory adherence. * Stay informed of evolving securities regulations and market practices, translating developments into practical business guidance. Required Qualifications * Juris Doctor (JD) from an accredited law school and active bar admission. * Minimum 5 years of compliance experience within an asset manager, hedge fund, or broker-dealer, with direct exposure to trading compliance. * Strong knowledge of U.S. securities regulations, trading practices, and market conduct requirements. * Demonstrated experience developing, managing, or enhancing pre-trade and post-trade surveillance programs. * Proven ability to advise traders, portfolio managers, and trading operations teams on time-sensitive compliance matters. * Experience reviewing trading activity, interpreting surveillance alerts, and conducting compliance investigations. * Strong background in preparing investigative reports, escalation documentation, and remediation recommendations. * Experience leading cross-functional initiatives involving compliance policies, technology, or operational improvements. * Excellent communication, analytical, and stakeholder management skills, with sound judgment and a strong commitment to professional integrity.