Compliance Trading Associate
On-siteSt. Petersburg, Florida, United States
Job Summary
Monitor pre-trade and post-trade compliance with client guidelines, fund restrictions, and regulatory requirements. Review portfolio holdings, trade activity, exposures, and diversification limits to identify violations or breaches. Partner with portfolio managers, traders, and operations teams to resolve compliance alerts and guideline exceptions. Support best execution oversight, including broker review, commission analysis, and trade allocation monitoring. Maintain and enhance compliance rules within trading systems and prepare reporting for internal committees, the CCO, and external providers. Conduct periodic testing of controls, surveillance dashboards, and exception reports to identify risks. Assist with regulatory filings, annual compliance reviews, and internal audits. Track regulatory developments affecting RIAs, ETFs, and investment management practices. This Full-Time position is based in St. Petersburg, FL.
Required Qualifications
- Bachelor's degree in finance, business, economics, accounting, law, or a related field
- 4+ years of compliance, legal, trading oversight, fund operations, portfolio compliance, or regulatory experience within an asset manager, RIA, ETF issuer, mutual fund complex, hedge fund, broker-dealer, compliance consulting firm, or financial regulator
- Working knowledge of buy-side trading, portfolio management, investment guidelines, trade lifecycle, and compliance monitoring
- Familiarity with SEC-registered investment advisers and registered funds, including ETFs or mutual funds
- Understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, Code of Ethics requirements, best execution, trade allocation, personal trading, and books and records obligations
- Strong analytical skills and ability to review trading, holdings, exposure, and compliance data
- Excellent written and verbal communication skills, including the ability to explain compliance issues clearly to investment and trading personnel
- High level of integrity, discretion, judgment, and professionalism
- Strong organizational skills and ability to manage multiple priorities, deadlines, and recurring compliance responsibilities
Desired Qualifications
- Experience with ETFs, index-based strategies, active ETFs, model portfolios, SMAs, mutual funds, or multi-asset investment strategies
- Experience with portfolio compliance systems
- Knowledge of ETF creation/redemption processes, custom baskets, daily portfolio transparency, authorized participants, market makers, and ETF capital markets operations
- Familiarity with derivatives compliance, liquidity risk management, valuation, fair value processes, restricted securities, Rule 144A securities, and complex instruments
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