IT Compliance Expert leading GxP and CSV projects in the pharmaceutical sector. Responsible for strategic project planning and execution with innovative technologies.
About the role
- Senior Associate Compliance overseeing the Firm’s trading activities for compliance. Analyzing risks and collaborating with teams to strengthen compliance infrastructure.
Responsibilities
- Develop and conduct daily, weekly, monthly trade surveillance to detect potential violations of market conduct rules, regulatory obligations, and internal policies.
- Analyze and escalate trade exceptions, including best execution outliers, pricing anomalies, and other compliance triggers.
- Monitor and track trade errors, assist with root cause analysis, and follow up on resolutions and documentation.
- Support the development, onboarding, and enhancement of trade surveillance platforms and exception management tools.
- Draft, update, and maintain policies and procedures specific to trading and execution activities.
- Perform risk assessments and targeted forensic testing of trading and compliance controls.
- Analyze trade data across equities, fixed income, and alternative assets to detect patterns or anomalies.
- Partner with data analytics and technology teams to automate surveillance, improve exception reporting, and refine monitoring workflows.
- Conduct compliance reviews of new products, trading strategies, and business initiatives to evaluate regulatory risk.
- Perform due diligence and conduct screening on transactions against all applicable restricted lists and advise on items involving material non-public information (MNPI).
- Stay informed of regulatory developments (e.g., SEC, FINRA, CFTC) impacting trading and execution practices.
- Assist with the preparation for and response to regulatory examinations, audits, and internal reviews.
- Lead or contribute to ad hoc compliance initiatives and projects as directed by the Chief Compliance Officer.
Requirements
- 3-7+ years of experience with Compliance or Risk Management with a focus on trading operations and trade surveillance
- Bachelor’s degree is required.
- Working knowledge and understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 with respect to trading.
- Familiarity with regulatory frameworks of SEC, FINRA and CFTC.
- Understanding of regulatory requirements for Investment Advisers regarding trading and allocation, and operational books and records requirements.
- Ability to identify patterns or anomalies in trading data.
- Experience auditing and performing risk assessments on cross functional processes.
- Skilled in evaluating potential business impacts and developing recommendations.
- Understanding of cybersecurity functions and processes and experience in testing of systems is a plus.
- Ability to work on assignments independently, using a high level of judgment and take initiative in resolving problems.
- Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline driven environment, and able to solve complex problems in a collaborative manner.
- Strong ethical commitment.
- Excellent oral and written communication skills.
- Limited travel may be required.
Benefits
- Health, dental, and vision insurance – day 1!
- 401(k) savings and investment plan options with 4% match
- Flexible PTO policy
- Parental Leave
- Financial assistance for advanced education and professional designations
- Opportunity to give back time to local communities
- Commuter benefits
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