Details.
A large buy side firm seeks a junior compliance associate reporting to the Deputy CCO. This trade surveillance role supports the investment team and other business units with the firm's Compliance program and investment-related questions. Responsibilities include assisting with the Code of Ethics, personal trading and outside business activity reviews, onboarding employees with Compliance training and documentation, reviewing trade surveillance and E-surveillance reports to identify and escalate potential issues, reviewing fund allocation reports for compliance with firm policy, and supporting Research Compliance by reviewing proposed consultants. Candidates need 1 to 3 years of related compliance experience and an understanding of trading and markets, including equities, fixed income and derivatives.