Senior Compliance Officer - Asset Management

Job DescriptionGrowing Asset Management client is seeking a Senior Compliance Officer that will lead its trade compliance function and provide real-time advisory support to trading teams across products, strategies, and regions. Key Responsibilities: Lead day-to-day management of the trade compliance program.Provide on-desk advisory guidance on Rule 105 of Regulation M, Regulation SHO, cross trades, trade allocations, best execution, MNPI, and ERISA considerations.Oversee pre- and post-trade compliance controls and partner with technology to enhance automation and surveillance systems.Administer Wall Cross processes and trading restrictions.Investigate trade surveillance alerts and support regulatory inquiries and examinations, including those from the U.S. Securities and Exchange Commission and Commodity Futures Trading Commission.Execute compliance monitoring and testing initiatives to strengthen governance and controls. Qualifications: 6+ years of compliance experience at a registered investment adviser or similar firm.Strong trade compliance and surveillance expertise, including MNPI, Reg M Rule 105, Reg SHO, and market abuse concepts. Meet Your RecruiterNick LaPetina