Global Markets Compliance Officer & Head of Control Room

Job Description

Schonfeld Strategic Advisors is seeking a Global Markets Compliance Officer & Head of Control Room for their New York office. The role requires a subject matter expert in regulations applying to market infrastructure, investment, and trading, with a focus on capital markets, equity, and credit markets. The candidate will provide advisory support for trading policy and manage control room operations.In this role, candidate will:

• Act as point of contact and manage key relationships with business line partners for Compliance.
• Lead, develop and manage Control Room initiatives and activity globally.
• Provide guidance and coaching to other members of the control room and the Compliance department.
• Provide compliance advice and training to investment personnel on their activities.
• Engage in the review of, and input into the approval for new investment instruments, products, strategies, technology, models, trading venues, and trading activities.
• Act as compliance SME as needed for relevant business change initiatives.
• Act as an escalation line for compliance program monitoring, testing, risk assessments, trade surveillance, and control evaluations connected to your coverage area.
• Act as first line response for exchange and regulator queries related to US market activity.
• Support and preparation of relevant business coverage for formal examinations.
• Track and lead regulatory change initiatives connected to relevant market structure and investment related regulatory change.
• Support the wider Global Markets Advisory team and Compliance department as needed.

Requirements for the role include:

• 5-7 years’ experience preferably in a multi-manager firm in a similar role, covering fundamental equity, credit, capital markets or similar discretionary strategies.
• Practical knowledge and experience of deal structures such as IPOs, secondary offerings, PIPEs, debt offerings, mergers and acquisitions, private placements, and rights issues
• Experience in maintaining control room restrictions and approving various deals for multiple investment teams
• Bachelor’s degree, JD preferred
• Highly self-motivated, organized, and attentive to detail.
• Calm and concise communicator, collaborative and able to engage well with staff of varying roles and seniority.

Schonfeld Strategic Advisors offers:

• Learning & educational offerings and opportunities to make an impact.