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The Voleon Group

Manager, Compliance - Control Room

Manages compliance control room team to monitor quantitative trading strategies in real-time, resolve anomalies, ensure regulatory compliance across asset classes, and lead cross-functional projects reporting to Global CCO. Requires 8-12+ years in trading/operations/compliance and 2+ years management experience.

160k – 190kNew York, NYBerkeley, CALegalHybrid8+ YOE
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About the role

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

Skills

Sec RulesFinra RulesCftc RulesAlgorithmic TradingTrading ComplianceEquitiesOptionsFuturesFxInvestment Advisers ActSecurities Exchange ActCommodity Exchange Act

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