Compliance Officer - Leading Investment FirmSimmons & Hanbury • Stamford, CT, United States
Compliance Officer - Leading Investment Firm
Simmons & Hanbury • Stamford, CT, United States
11 hours ago
Job type
- Full-time
Job descriptionCirca 2-8 years compliance experience with ideally a background in either asset / investment management, hedge fund, markets or trading firms. Strong attention to detail and able to manage multiple projects efficiently under tight deadlines. Strong communicator with collaborative mindset, capable of independent work and effective stakeholder engagement. Beneficial to have exposure across quantitative or systematic trading systems / environments.
Senior Legal & Compliance Consultant - In-House Financial Services
Our Client
Our client is a global investment management firm seeking a highly motivated compliance analyst to join their Trading Compliance team and work closely with the current Head of Compliance.
Key Responsibilities
- Support the Head of Trading Compliance in building and maintaining the firm’s compliance programme for a leading quantitative fund.
- Research and interpret regulatory requirements, ensuring the firm remains aligned with evolving global rules.
- Manage regulatory horizon scanning, reporting obligations and policy implementation to maintain compliance standards.
- Become involved in trade alerting / surveillance for the wider business.
Experience Requirements
Due to the high volume of applications, if you haven’t heard back from the team on this role, unfortunately, your application has been unsuccessful. If your profile matches any of our other opportunities, one of our consultants will be in touch.
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Compliance Officer • Stamford, CT, United States
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