Description

　　Robert Half Financial Services is recruiting for an Investment Compliance - Trade Surveillance Officer role within a global Asset Management firm in midtown Manhattan, New York. Our client requires at least 3+ years of Equity/Fixed Income Trade Monitoring or Surveillance experience at an investment firm or hedge fund, with knowledge of SEC Regulations. StarCompliance system knowledge is advantageous. This role is 4 days per week in the midtown Manhattan New York office.

　　Responsibilities:

　　• Assist the CCO in the ongoing development and monitoring of the compliance program for its SEC registered investment advisers.

　　• Responsible for all monitoring and testing of Firm’s wrap fee program client accounts

　　• Conduct best execution reviews and monitoring of trading activity in the Managed Accounts within the Firm’s Wealth Management Division.

　　• Conduct monitoring of employees’ electronic communications

　　• Assist in all regulatory examinations and inquires.

　　• Conduct trade surveillance and monitoring, including electronic communications.

　　• Handle the review of personal trading activity for all US employees.

　　• Carry out reviews (business process reviews and compliance audits) to ensure that the Company complies with rules and regulations as well as with the company’s policies and internal control procedures.

　　Requirements

　　Requirements:

　　• 3+ years of Equity/Fixed Income Trade Monitoring or Surveillance experience at an investment firm or hedge fund.

　　• Experience working at an investment advisory firm with wrap account programs and retail clients.

　　• Strong knowledge of SEC investment advisor requirements and filings.

　　• Experience using StarCompliance is a plus.

　　• Must be comfortable in a fast-paced working environment.

　　• Ability to work with and consult to individuals at all levels of an organization required.

　　• Adept at interfacing with external constituents including regulators and other representatives.

　　• Bachelor’s degree or equivalent work experience required.

　　The Investment Compliance - Trade Surveillance Officer role requires someone to work 4 days per week in the midtown Manhattan office so please only apply if you are able to travel to this location, have relevant experience for the role, and are eligible to work in the United States. The salary is dependent on experience, an initial range is $110-130k base plus $30-60k target bonus. If your profile matches the above criteria, please email me directly and add me on LinkedIn Trishan Khareghat

　　Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

　　Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

　　All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

　　© 2024 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https:///www.roberthalf.com/us/en/terms) .