Head of Equity Trade Surveillance
Confidential, New York, NY, United States
Head of Equity Trade Surveillance
About the Company
Dynamic financial services organization
Industry Financial Services
Type Privately Held
About the Role
The Company is seeking a Head of Equity Trade Surveillance to lead the function and ensure strict compliance with industry regulations and governance standards. The successful candidate will be responsible for driving strategic initiatives to enhance trade compliance processes, collaborating with cross-functional teams on complex regulatory matters, and overseeing the development and enforcement of policies for trading governance and quantitative trading activities. This role also involves providing expert advisory support to trading staff, supporting regulatory inquiries, and training portfolio managers and traders on compliance topics.
Applicants must have a Bachelor’s degree, with a JD preferred, and a minimum of 10 years of experience in compliance, particularly within a registered investment adviser or similar role. The role requires exceptional attention to detail, critical thinking, and problem-solving skills, as well as direct experience with trade compliance and surveillance matters. Knowledge of derivatives strategies and complex financial products is advantageous. The Head of Equity Trade Surveillance will also be expected to have strong MS Excel skills, with familiarity in SQL and Python being a plus, and the ability to effectively manage pre- and post-trade compliance checks. Experience in training and onboarding new staff on compliance topics and a proven track record of successfully supporting regulatory inquiries and examinations are essential.
Travel Percent Less than 10%
Functions
Finance Operations
About the Company
Dynamic financial services organization
Industry Financial Services
Type Privately Held
About the Role
The Company is seeking a Head of Equity Trade Surveillance to lead the function and ensure strict compliance with industry regulations and governance standards. The successful candidate will be responsible for driving strategic initiatives to enhance trade compliance processes, collaborating with cross-functional teams on complex regulatory matters, and overseeing the development and enforcement of policies for trading governance and quantitative trading activities. This role also involves providing expert advisory support to trading staff, supporting regulatory inquiries, and training portfolio managers and traders on compliance topics.
Applicants must have a Bachelor’s degree, with a JD preferred, and a minimum of 10 years of experience in compliance, particularly within a registered investment adviser or similar role. The role requires exceptional attention to detail, critical thinking, and problem-solving skills, as well as direct experience with trade compliance and surveillance matters. Knowledge of derivatives strategies and complex financial products is advantageous. The Head of Equity Trade Surveillance will also be expected to have strong MS Excel skills, with familiarity in SQL and Python being a plus, and the ability to effectively manage pre- and post-trade compliance checks. Experience in training and onboarding new staff on compliance topics and a proven track record of successfully supporting regulatory inquiries and examinations are essential.
Travel Percent Less than 10%
Functions
Finance Operations