Senior Associate\Associate Director, Trading Practices Compliance

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.
• Conduct ongoing surveillance and monitoring activities to identify potential misuse of Material Non-Public Information (MNPI) across trading, research, and other business activities.
• Review and evaluate wall-crossing requests and related documentation to ensure proper controls, approvals, and regulatory requirements are satisfied.
• 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.