Trading Compliance Consultant

Responsibilities

• Support RFP responses and participate in client meetings and presentations.
• Provide subject matter expertise in pre-trade controls, trade surveillance, and post-trade monitoring.
• Advise on trading compliance frameworks and best practices across asset management operations.
• Collaborate with stakeholders to design and position real-time, AI-driven compliance solutions.
• Support middle-office functions including:
  • Pre- and post-trade compliance
  • Regulatory and client reporting
  • Trade lifecycle monitoring
• Contribute to discussions around governance, regulatory compliance, and transformation initiatives.
• Provide insights into trading systems, complex derivatives, and compliance controls.

Required Skills & Experience

• Strong experience in trading compliance within Asset Management or Capital Markets.
• Deep knowledge of:
  • Pre-trade compliance controls
  • Post-trade monitoring and surveillance
• Familiarity with key regulatory frameworks:
  • SEC, FINRA, MiFID (or similar)
• Experience supporting RFPs, client discussions, and stakeholder presentations.
• Understanding of middle-office operations, including regulatory reporting and client reporting.
• Exposure to trading systems and compliance controls for complex financial instruments.

Preferred Skills

• Experience with AI-driven compliance or surveillance platforms.
• Knowledge of complex derivatives trading and associated compliance requirements.
• Strong communication and client-facing skills.
• Ability to travel to Boston and NYC as needed.

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