Senior Compliance Trade Surveillance Officer jobs in United States
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Atlas Search ยท 13 hours ago

Senior Compliance Trade Surveillance Officer

positionNYC Metro Area
timeFull-time
remoteOnsite
senioritySenior Level
money$150K/yr - $200K/yr
date6+ years exp

Atlas Search is a global alternative investment manager specializing in derivatives-based and volatility-focused strategies. They are seeking a Senior Compliance Officer to manage the trade compliance function, provide advisory support, and oversee compliance controls across multiple products and strategies.

FinanceRecruitingStaffing Agency
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Growth Opportunities
Hiring Manager
Jake Bachner
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Responsibilities

Own and manage the trade compliance function across multiple products and strategies
Provide on-desk compliance advisory support to PMs and traders globally
Advise on Regulation M (Rule 105), Regulation SHO, cross trades, trade allocations, best execution, ERISA suitability, and other trading-related matters
Oversee pre- and post-trade compliance controls, partnering with technology teams on proprietary systems and third-party tools
Enforce policies and procedures related to trading governance and quantitative trading activity
Review and facilitate wall-crossing activity, including trading restrictions and documentation
Lead onboarding and training for new PMs and traders on MNPI, sanctions, Reg M/SHO, allocations, and related topics
Support responses to regulatory inquiries and exams (e.g., SEC, NFA/CFTC)
Manage trade surveillance investigations, escalation frameworks, and program enhancements
Execute and enhance the compliance testing and monitoring program, including automation initiatives

Qualification

Trade complianceTrade surveillanceMNPI knowledgeDerivatives strategiesAdvanced ExcelSQLPythonJudgmentCommunication skillsCollaborative mindset

Required

6+ years of compliance experience at a registered investment adviser or similar institution
Direct, hands-on experience with trade compliance and trade surveillance
Strong knowledge of MNPI/inside information, Reg M Rule 105, Reg SHO, and market manipulation/abuse concepts
Familiarity with derivatives strategies and complex financial instruments
Excellent written and verbal communication skills with strong judgment and attention to detail
Bachelor's degree required
Advanced Excel skills

Preferred

JD preferred but not required
SQL and/or Python experience is a plus
High ethical standards and sound judgment
Intellectual curiosity and willingness to engage with evolving market structure
Collaborative mindset with an interest in technology and AI-driven compliance solutions

Company

Atlas Search

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Atlas Search is an executive recruiting firm dedicated to placing accounting, finance, middle office, information tech, human resources.
dateFounded in 2015
location
New York, New York, USA
people-size51-200 employees
web-link
https://atlassearchllc.com/

Funding

Current Stage
Growth Stage

Leadership Team

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Pablo Ismael
Partner, Chief Operating Officer
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Peter Riccio
Founding Partner
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Recent News

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