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This opportunity is with a leading global commodities trading firm with operations across the world. The Compliance group is a small team that monitors and implements regulatory requirements that impact the firm as well as ensuring the day-to-day business can operate within existing controls. This role will support the NFA asset management business, as well as support the larger firm from a securities/equities and global controls perspective.
Responsibilities:
Assist with administering the fund and the firm’s compliance policies and procedures including employee compliance monitoring and tasks, email reviews, regulatory filings and recurring compliance obligations
Filings for both the securities trading business, as well as the investment management business. Experience with credit and loan trading is a plus.
Assistance with maintenance of the investment manager Compliance Manual and other policies and procedures for the fund and the firm
Assist in preparing for and responding to regulatory inquiries and examinations
Assistance with building and maintaining the firm’s policies and procedures around MNPI and Information Barriers, including expert network, NDA reviews and building out additional controls and project implementations as needed.
Assist with projects to continue to build the firms compliance program globally, especially as it pertains to supporting new business lines and systems, including working on the systems for implementation projects
Assist with drafting and updating policies, board meeting preparations, and management of all forms of corporate records, trackers, registrations, and filings
Assist with conducting various compliance training for the Firm, including new hire training
Maintain and update the compliance calendar and matrix
Qualifications:
5+ years of direct compliance experience, with familiarity and ongoing interest in regulatory compliance; specifically, knowledge of SEC regulations/Equities Trading/Insider Trading case law and global frameworks a plus and CFTC/NFA/Exchange regulations and NFA investment management. Good working knowledge of securities trading, credit and loan trading, commodities, derivatives and trade flow
Admission to NY Bar a plus
Excellent written and oral communication skills; must be comfortable working in a team-oriented, constantly changing and fast-paced environment
Excellent attention to detail and strong organizational skills; ability to work on multiple time-sensitive projects
Proactive problem solver, positive and energetic attitude
Ability to work autonomously, meet deadlines, and be proactive in taking on new initiatives, strong analytical and organizational skills, strong relationship management and communication skills
Seniority level Mid-Senior level
Employment type Full-time
Job function Project Management and Finance
Industries Investment Management
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Responsibilities:
Assist with administering the fund and the firm’s compliance policies and procedures including employee compliance monitoring and tasks, email reviews, regulatory filings and recurring compliance obligations
Filings for both the securities trading business, as well as the investment management business. Experience with credit and loan trading is a plus.
Assistance with maintenance of the investment manager Compliance Manual and other policies and procedures for the fund and the firm
Assist in preparing for and responding to regulatory inquiries and examinations
Assistance with building and maintaining the firm’s policies and procedures around MNPI and Information Barriers, including expert network, NDA reviews and building out additional controls and project implementations as needed.
Assist with projects to continue to build the firms compliance program globally, especially as it pertains to supporting new business lines and systems, including working on the systems for implementation projects
Assist with drafting and updating policies, board meeting preparations, and management of all forms of corporate records, trackers, registrations, and filings
Assist with conducting various compliance training for the Firm, including new hire training
Maintain and update the compliance calendar and matrix
Qualifications:
5+ years of direct compliance experience, with familiarity and ongoing interest in regulatory compliance; specifically, knowledge of SEC regulations/Equities Trading/Insider Trading case law and global frameworks a plus and CFTC/NFA/Exchange regulations and NFA investment management. Good working knowledge of securities trading, credit and loan trading, commodities, derivatives and trade flow
Admission to NY Bar a plus
Excellent written and oral communication skills; must be comfortable working in a team-oriented, constantly changing and fast-paced environment
Excellent attention to detail and strong organizational skills; ability to work on multiple time-sensitive projects
Proactive problem solver, positive and energetic attitude
Ability to work autonomously, meet deadlines, and be proactive in taking on new initiatives, strong analytical and organizational skills, strong relationship management and communication skills
Seniority level Mid-Senior level
Employment type Full-time
Job function Project Management and Finance
Industries Investment Management
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