Associate Director, Trading Practices Compliance

Job Summary

Responsible for the day-to-day surveillance and oversight activities for the Firm’s various trading functions. Requires the use of policies, procedures, and manual and automated systems to mitigate these risks and comply with regulatory restrictions.

Primary Responsibilities

• Assist with surveillance and compliance monitoring related to best execution, cross trades, fair allocation, order management, market abuse, insider trading, and trade error review and remediation
• Proactively identify patterns or trends through surveillance reviews and escalate findings as appropriate
• Draft, maintain, and enhance policies and procedures related to trading practices and regulatory obligations
• Lead or contribute to key departmental and firm-wide projects, ensuring alignment with compliance objectives
• Develop and deliver targeted training on trading-related rules, regulations, and internal policies to relevant stakeholders
• Resolve or escalate trading-related compliance issues and provide practical guidance to business units
• Collaborate with IT, front office, and other stakeholders to design and implement solutions that address new and evolving regulatory requirements
• Stay current on regulatory developments and enforcement actions affecting trading practices and advise management on significant issues and emerging risks

Qualifications

• Minimum 4 years of investment adviser or financial service experience with emphasis on trade compliance
• Experience across a range of asset classes primarily including private lending, private investment funds, bank loans, derivatives, real estate investments, and corporate securities are required
• Experience with Firewalls, Insider Trading, Market Conduct, and other conflicts of interest polices strongly preferred
• Knowledge of the provisions within Investment Advisers Act, Investment Company Act, ERISA, FCA Handbook\UCITS, MAR, AIFMD, MIFID II and other applicable regulations
• Experience working with regulatory agencies (e.g., SEC, FINRA, CFTC, FCA) and/or a corporate audit environment a plus
• Experience in project management and addressing ad-hoc data analysis requests
• Effective, results orientated team player with strong interpersonal skills; Critical thinker with very strong organizational and analytical skills; must be very detail oriented
• Must be self-motivated and must possess the skills to successfully interact with and negotiate with internal professionals, including management
• Strong ability to comprehend highly technical regulatory requirements
• Demonstrates ongoing commitment to continuous learning and self- improvement
• Alexa and strong Excel experience also a plus
• Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk
• Good communicator who has previous daily engagement with investment teams
• Proficiency in Aladdin or another order management system required