About this opportunity
Atlantic Group lists this Trading Compliance Advisory Counsel opportunity in new york, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Job Overview – Trading Compliance Advisory Counsel
Compensation: $125,000–$175,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a Trading Compliance Advisory Counsel in New York, NY for our client, supporting regulatory compliance and legal matters within an investment management environment. This role will provide guidance on investment and trading activities, regulatory requirements, compliance policies, and internal controls while collaborating with legal, compliance, investment, and operational teams. The ideal candidate is an attorney with experience in investment management, financial services, securities, or regulatory compliance.
Responsibilities as the Trading Compliance Advisory Counsel:
Compliance Advisory: Provide legal and compliance guidance related to investment activities, trading practices, financial products, and applicable regulatory requirements.
Trading Oversight: Support pre-trade and post-trade compliance controls, surveillance processes, investigations, and resolution of potential trading issues.
Product Review: Evaluate compliance considerations associated with new investment products, markets, counterparties, and trading activities.
Regulatory Compliance: Monitor securities and commodities regulations and assist with regulatory inquiries, examinations, policies, and procedural updates.
Risk Management: Conduct compliance reviews, document findings, address potential issues, and support appropriate remediation and escalation processes.
Cross-Functional Support: Partner with investment, legal, risk, operations, and technology teams on compliance initiatives, training, and control enhancements.
Qualifications for the Trading Compliance Advisory Counsel:
Education: Juris Doctor (JD) degree from an accredited law school is required.
Licensure: Active bar admission is required.
Experience: 3–7 years of legal or compliance experience supporting investment or trading activities within an asset manager, hedge fund, broker-dealer, or relevant law firm practice is required.
Industry Knowledge: Knowledge of investment products, securities and commodities regulations, trading activities, and regulatory compliance requirements is required.
Technical Skills: Experience with compliance monitoring, trade surveillance, regulatory research, internal controls, and investment compliance processes is required.
Skills & Attributes: Strong legal judgment, analytical ability, communication, attention to detail, stakeholder management, and ability to manage multiple priorities are required.
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.