Trading Advisory Compliance Officer - Atlantic Group : Job Details

Join to apply for the Trading Advisory Compliance Officer role at Atlantic Group6 days ago Be among the first 25 applicantsJoin to apply for the Trading Advisory Compliance Officer role at Atlantic GroupLocation: New York, NYType: Perm (Contingency)Job #45619Salary: $125,000Job Overview – Trading Advisory Compliance Officer:Compensation: $125,000 – $200,000/year base ($150,000 – $250,000 All-in)Location: New York, NYSchedule: Monday to Friday (Hybrid)Atlantic Group is hiring a Trading Advisory Compliance Officer for our client in New York, NY, to ensure trading activity complies with SEC, Reg M, and insider trading regulations. In this hybrid role, you'll support trading desks, manage restricted lists and wall-crossing protocols, and handle regulatory inquiries. Ideal candidates have compliance or trade surveillance experience at an asset manager or investment bank, with strong knowledge of market regulations and ECM/DCM workflows.Responsibilities as the Trading Advisory Compliance Officer:Insider Trading Compliance: Manage the firm's Restricted List and analyze MNPI-related activity under insider trading policies.Trading Desk Support: Provide real-time compliance guidance on Best Execution, Soft Dollars, Reg SHO, and related trading matters.Regulatory Filings: Review secondary offerings and wall cross requests in line with SEC Rule Reg M 105.Policy Updates: Maintain and communicate updates to compliance policies and procedures.Training & Exams: Deliver internal compliance training and support regulatory audits and inquiries.Collaboration: Coordinate with international compliance teams on cross-border trading oversight.Qualifications for the Trading Advisory Compliance Officer:Education: Bachelor's degree in Finance, Economics, Business, or a related field is required.Experience: 5-8 years in compliance, surveillance, or regulatory roles within an asset manager, investment adviser, or bank, with direct exposure to equities or fixed-income trading.Industry Knowledge: Familiarity with ECM, DCM, or Control Room operations, SEC rules and trading regulations, and global market structure requirements.Technical Skills: Proficient in Microsoft Excel, with preferred experience in VBA and SQL for data analysis and reporting.Skills & Attributes: Excellent communication and analytical skills, strong organizational abilities, and the ability to manage multiple priorities in a fast-paced, high-stakes environment.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.Seniority level Seniority level Mid-Senior levelEmployment type Employment type Full-timeJob function Job function LegalIndustries Staffing and RecruitingReferrals increase your chances of interviewing at Atlantic Group by 2xGet notified about new Compliance Officer jobs in New York, NY .Compliance Officer - Compliance Risk Assessment - VP New York, NY $140,000.00-$180,000.00 2 days agoNew York, NY $120,000.00-$160,000.00 1 week agoNew York, NY $100,000.00-$140,000.00 2 days agoNew York, NY $330,000.00-$400,000.00 2 hours agoVice President, ESG Advisory Compliance Officer New York City Metropolitan Area $120,000.00-$150,000.00 2 days agoNew York City Metropolitan Area $100,000.00-$150,000.00 1 day agoNew York, NY $120,000.00-$205,000.00 7 hours agoNew York, NY $130,000.00-$150,000.00 3 months agoNew York, NY $200,000.00-$250,000.00 4 weeks agoLegal, Compliance & Controls Manager, Vice President Team Lead, AML Compliance Investigations Senior Manager, Compliance Governance & Operations (US) New York, NY $110,760.00-$178,880.00 2 weeks agoNew York, NY $85,000.00-$135,000.00 1 week agoSenior Manager, Compliance Governance & Operations (US) – Compliance Program Management, Strategic Development and Initiatives New York, NY $110,760.00-$178,880.00 15 hours agoNew York, NY $176,720.00-$265,080.00 2 weeks agoInvestments Compliance Officer – Portfolio Monitoring Jersey City, NJ $94,800.00-$125,000.00 1 week agoSenior Manager, Strategy & Operations - Legal & Compliance New York, NY $176,000.00-$213,000.00 2 days agoCorporate / Board Secretary - Assistant Vice President / Vice President New York, NY $170,000.00-$254,500.00 2 days agoNew York City Metropolitan Area $175,000.00-$225,000.00 6 days agoHead of Investment and Corporate Banking Regulatory Compliance (“ICBRC”) Americas – Director New York, NY $250,000.00-$300,000.00 2 days agoNew York, NY $150,000.00-$175,000.00 5 days agoSenior Director of Global AML & Sanctions Programs New York, NY $236,000.00-$295,000.00 5 days agoVP - Legal & Compliance (Financial Services) New York City Metropolitan Area $175,000.00-$225,000.00 1 week agoDirector, Employee Relations & Compliance Director of Government Contracts & Quality Assurance New York, NY $90,000.00-$100,000.00 1 month agoAmericas Corporate Secretarial Chief Operating Officer - Company Law Group New York, NY $90,000.00-$155,000.00 1 week agoNew York, NY $185,000.00-$230,000.00 6 days agoCompliance & Consumer Protection Senior Manager New York, NY $132,500.00-$302,400.00 6 days agoAssistant/Associate General Counsel for Risk and Compliance New York, NY $160,000.00-$175,000.00 3 weeks agoCompliance and Operations Director - Aon Securities We're unlocking community knowledge in a new way. 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