Accessibility
Home
Jobs
Upload CV
Find Talent
Careers
Senior Compliance Officer – Trade Surveillance
We’re conducting a search on behalf of a global alternative investment firm who are looking to add a Senior Compliance Officer to their team.
This individual will oversee the firm’s day-to day trade surveillance activities, manage a junior associate, and work closely with Portfolio Managers, the Investment team, and Legal and Compliance stakeholders.
- Lead the firm’s trade compliance function across products, strategies, and region.
- Provide on-desk advisory support to traders and PMs (Reg M, Reg SHO, Rule 105, allocations, best execution)
- Oversee pre- and post-trade surveillance and partner with technology on compliance systems
- Manage wall-crossing, trading restrictions, and related documentation
- Enforce trading governance policies for discretionary and quantitative strategies
- Advise on permissible transactions (cross trades, ERISA considerations, offerings)
- Onboard and train PMs and traders on MNPI, sanctions, and trade compliance standards
Barclay Simpson, recognised specialists in Compliance jobs and recruitment: https://www.barclaysimpson.com/specialisms/compliance-jobs/
This job was posted by Barclay Simpson: https://www.barclaysimpson.com/job/senior-compliance-officer-trade-surveillance/
We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.
Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.
