Job summary
Job post source
This job is directly from Fortune 500 Companies
Job overview
The Compliance Manager role at a leading broker dealer and hedge fund involves building and enhancing compliance frameworks across Operations, Treasury, and Finance to support new business lines, including self-clearing.
Responsibilities and impact
The candidate will develop and implement compliance frameworks, lead compliance efforts for self-clearing initiatives, conduct compliance testing and risk assessments, draft policies and guidance, serve as a regulatory subject matter expert, collaborate with stakeholders on compliance tools, and track regulatory obligations.
Experience and skills
The position requires 10+ years in Compliance Operations within broker-dealer or hedge fund environments, strong knowledge of post-trade operations and regulatory obligations, experience with self-clearing programs, excellent communication skills, and familiarity with FINRA, SEC, and CFTC regulations; licenses or accounting certifications and experience with compliance tooling or AI solutions are a plus.
Company information
The company is a leading broker dealer and hedge fund part of Fortune 500 Companies, focusing on strategic compliance operations.
Job location and travel
The job is located in New York City.
Unique job features
The role is strategic and operationally critical, involving innovative compliance automation and AI-driven reporting solutions.
Company overview
Fortune 500 Companies is an annual list compiled and published by Fortune magazine that ranks the top 500 U.S. corporations by total revenue for their respective fiscal years. These companies span various industries including technology, finance, healthcare, and retail, making money primarily through sales, services, and investments. The list was first published in 1955 and has since become a benchmark for business success and economic power in the United States. Understanding the dynamics and the leading players in this list can provide valuable insights into market trends and corporate strategies.
How to land this job
Tailor your resume to emphasize your extensive experience in Compliance Operations within broker-dealer or hedge fund environments, highlighting your knowledge of post-trade operations, risk control frameworks, and enterprise functions like Operations, Treasury, and Finance.
Highlight your ability to interpret and operationalize regulatory obligations from agencies such as FINRA, SEC, and CFTC into actionable policies, controls, and compliance frameworks, especially your experience with self-clearing programs and FINRA applications.
Apply through multiple channels including the corporate careers page of Fortune 500 companies, LinkedIn job postings, and relevant industry-specific job boards to maximize your application visibility for Compliance Manager roles.
Connect with compliance professionals and operations managers within the regulatory or compliance divisions of Fortune 500 firms on LinkedIn, using ice breakers such as commenting on recent regulatory changes, asking about their experience with compliance automation tools, or inquiring about best practices for self-clearing initiatives.
Optimize your resume for ATS by incorporating keywords from the job description like 'compliance operations,' 'post-trade,' 'self-clearing,' 'FINRA,' 'SEC,' 'risk assessments,' and 'compliance automation' to ensure your resume passes initial screening filters.
Utilize Jennie Johnson's Power Apply feature to automate tailored applications across multiple platforms, identify and connect with key LinkedIn contacts in compliance divisions, and optimize your resume for ATS—freeing up your time to prepare for interviews and advance your job search strategically.
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