<p><strong>Ready to Take the Next Step? Let’s Connect!</strong></p><p>If this opportunity feels like a strong match for your background, apply today and send your resume to <strong>JC del Rosario via LinkedIn</strong>—I’d welcome the chance to connect and learn more about you.</p><p><br></p><p><strong>Trade Compliance Analyst / Associate</strong></p><p><strong>About the Firm</strong></p><p>We’re partnering with a leading global investment firm focused on both private and public markets. The firm manages several billion in capital and invests across innovative, fast‑growing sectors. With a collaborative, high‑performing team and a strong reputation for disciplined, research‑driven investing, the firm offers a stable and supportive environment for long‑term career development.</p><p>The Trade Compliance Analyst/Associate plays a critical role in maintaining regulatory oversight across public investment strategies. This individual will monitor trading activity, ensure adherence to internal policies and securities laws, and support the firm’s compliance program. The role sits within the Compliance team and works cross‑functionally with Legal, Operations, and Investment professionals. This position reports to the Chief Compliance Officer.</p><p><br></p><p><strong>Why This Role Stands Out</strong></p><ul><li>Highly collaborative compliance and legal environment</li><li>Strong work‑life balance with predictable hours</li><li>Excellent mentorship and long‑term career stability</li><li>Hybrid schedule in a modern, well‑equipped office</li><li>Competitive compensation and comprehensive benefits</li></ul><p><strong>Key Responsibilities</strong></p><p><strong>Trade Surveillance & Monitoring</strong></p><ul><li>Assist with preparing trade authorization forms</li><li>Conduct daily reviews of trade activity across multiple funds</li><li>Identify exceptions, trends, or regulatory filing obligations</li><li>Support pre‑trade checks, restricted list monitoring, and trade approvals</li><li>Initiate regulatory filings, including:</li><li><strong>Forms 4 and 5</strong></li><li><strong>Forms 13D/G</strong></li><li>Other SEC‑required submissions</li><li>Coordinate with Legal and external counsel as needed</li><li>Support compliance testing, reporting cycles, and regulatory examinations</li></ul><p><strong>Compliance Program Support</strong></p><ul><li>Help enhance trade surveillance systems, data processes, and internal controls</li><li>Contribute to risk assessments and gap analyses involving MNPI and information‑barrier practices</li><li>Support employee training related to MNPI, restricted lists, and trading rules</li><li>Partner with Trading, Finance, and Accounting teams to ensure accurate and complete trade data</li></ul><p><strong>Compensation & Benefits</strong></p><ul><li>Competitive base salary plus annual bonus</li><li>Comprehensive medical, dental, and vision coverage</li><li>Life and long‑term disability insurance</li><li>Attractive 401(k) program</li><li>Hybrid working model</li><li>Supportive team with strong investment in your long‑term development</li></ul>
