Compliance Officer (Trade Surveillance Monitoring)

What the role needs

• Job Overview – Compliance Officer (Trade Surveillance Monitoring)
• Location: New York, NY or Stamford, CT
• Schedule: Monday to Friday (Hybrid)
• Trading Compliance: Provide timely compliance guidance on trading activity, approvals, market conduct, and regulatory requirements.
• Trade Surveillance: Manage and enhance pre-trade and post-trade monitoring, including alert review, escalation, and surveillance control improvements.
• Investigations: Analyze trading exceptions and potential compliance issues, document findings, and develop remediation recommendations.
• Regulatory Advisory: Monitor regulatory developments and support updates to trading policies, procedures, and internal controls.
• Cross-Functional Projects: Partner with legal, risk, operations, finance, and technology teams to implement compliance systems, reporting tools, and process enhancements.
• Training & Guidance: Develop and deliver compliance training and practical guidance for traders, portfolio managers, and other investment professionals.
• Experience: 5–8 years of trade surveillance or trading compliance experience within an investment manager, hedge fund, broker-dealer, or similar financial services environment is required.
• Industry Knowledge: Strong knowledge of U.S. securities regulations, market conduct requirements, trading controls, and pre-trade and post-trade surveillance practices is required.
• Technical Skills: Experience analyzing trading activity, surveillance alerts, compliance data, and automated monitoring tools is required.

From the employer

Job Overview – Compliance Officer (Trade Surveillance Monitoring) Compensation: $145,000 – $175,000/year + bonus Location: New York, NY or Stamford, CT Schedule: Monday to Friday (Hybrid) Atlantic Group is hiring a Compliance Officer (Trade Surveillance Monitoring) for our client, with the position based in either New York, NY or Stamford, CT. This role will support trading compliance, surveillance monitoring, regulatory oversight, and risk management across investment activities. The Compliance Officer will provide real-time guidance to trading professionals, enhance pre-trade and post-trade controls, and investigate potential trading exceptions. The position will also partner with legal, risk, operations, finance, and technology teams to strengthen compliance processes, systems, and regulatory initiatives. Responsibilities as the Compliance Officer: • Trading Compliance: Provide timely compliance guidance on trading activity, approvals, market conduct, and regulatory requirements. • Trade Surveillance: Manage and enhance pre-trade and post-trade monitoring, including alert review, escalation, and surveillance control improvements. • Investigations: Analyze trading exceptions and potential compliance issues, document findings, and develop remediation recommendations. • Regulatory Advisory: Monitor regulatory developments and support updates to trading policies, procedures, and internal controls. • Cross-Functional Projects: Partner with legal, risk, operations, finance, and technology teams to implement compliance systems, reporting tools, and process enhancements. • Training & Guidance: Develop and deliver compliance training and practical guidance for traders, portfolio managers, and other investment professionals. Qualifications for the Compliance Officer: • Education: Bachelor's degree is required, and a Juris Doctor degree is strongly preferred. • Licensure: Admission to a state bar preferred, but not required. • Experience: 5–8 years of trade surveillance or trading compliance experience within an investment manager, hedge fund, broker-dealer, or similar financial services environment is required. • Industry Knowledge: Strong knowledge of U.S. securities regulations, market conduct requirements, trading controls, and pre-trade and post-trade surveillance practices is required. • Technical Skills: Experience analyzing trading activity, surveillance alerts, compliance data, and automated monitoring tools is required. • Skills & Attributes: Strong analytical, investigative, project management, communication, and stakeholder management skills with the ability to provide clear guidance, manage complex compliance matters, and maintain high ethical standards. Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.