Trading Compliance Advisory Counsel

Location: New York, NY | Type: Permanent (Contingency)

About the role

Atlantic Group is hiring a Trading Compliance Advisory Counsel in New York, NY for our client, supporting regulatory compliance and legal matters within an investment management environment. This role will provide guidance on investment and trading activities, regulatory requirements, compliance policies, and internal controls while collaborating with legal, compliance, investment, and operational teams. The ideal candidate is an attorney with experience in investment management, financial services, securities, or regulatory compliance.

Responsibilities

• Provide legal and compliance guidance related to investment activities, trading practices, financial products, and applicable regulatory requirements.
• Support pre-trade and post-trade compliance controls, surveillance processes, investigations, and resolution of potential trading issues.
• Evaluate compliance considerations associated with new investment products, markets, counterparties, and trading activities.
• Monitor securities and commodities regulations and assist with regulatory inquiries, examinations, policies, and procedural updates.
• Conduct compliance reviews, document findings, address potential issues, and support appropriate remediation and escalation processes.
• Partner with investment, legal, risk, operations, and technology teams on compliance initiatives, training, and control enhancements.

Requirements

• Juris Doctor (JD) degree from an accredited law school is required.
• Active bar admission is required.
• 3–7 years of legal or compliance experience supporting investment or trading activities within an asset manager, hedge fund, broker-dealer, or relevant law firm practice is required.
• Knowledge of investment products, securities and commodities regulations, trading activities, and regulatory compliance requirements is required.
• Experience with compliance monitoring, trade surveillance, regulatory research, internal controls, and investment compliance processes is required.

Skills

• Strong legal judgment and analytical ability.
• Excellent communication and attention to detail.
• Effective stakeholder management.
• Ability to manage multiple priorities.

Pay

$125,000–$175,000/year + bonus

Schedule

Monday to Friday (Hybrid)