Manager, Compliance - Control Room

Responsibilities

• Draft and maintain appropriate policies and procedures for our real time and near real time compliance monitoring program
• Ensure all trading related issues are appropriately escalated, documented, and dispositioned
• Develop key performance indicators and regular reporting on the control room function to the Global CCO and other senior executives
• Lead cross-functional projects and drive execution across multiple departments
• Manage and develop a high-performing team, overseeing hiring, training, workload allocation, and day-to-day leadership
• Build out a suite of monitoring reports that actively reviews algorithmic trading for anomalies and suspected breach of SEC, FINRA and CFTC rules
• Develop a case management protocol for follow up on suspected anomalies and potential rule violations
• Supervise the work of junior compliance analysts who prepare trading related regulatory filings
• Work with the Global Chief Compliance Officer to manage interactions with US and overseas regulators
• Document trade errors and work with trading and operations teams to ensure that repeat errors with the same criteria do not occur

Requirements

• 8-12+ years in a trading, operations, or compliance role at a large financial industry firm (e.g., hedge fund, investment adviser, broker-dealer)
• 2+ years in a management position, overseeing multiple direct reports of varying seniority
• Experience communicating effectively across compliance, finance, legal, operations, and senior leadership
• Deep understanding of trading mechanics in multiple asset classes (e.g., equities, options, futures, FX)
• Familiarity with financial industry rules, like trade reporting and the anti-fraud provisions of various federal rules (e.g., Investment Advisers Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act)
• Bachelor’s degree required