Investment Compliance Consultant

Location: New York, NY (Hybrid)
Duration: 12-Month Contract

Overview

We are seeking an experienced Investment Compliance Consultant to support regulatory compliance initiatives within a fast-paced trading and capital markets environment. This role will focus heavily on pre- and post-trade investment compliance, surveillance, monitoring, and control framework enhancements across trading platforms and compliance systems.

The ideal candidate will have strong hands-on experience with investment compliance regulations, trade monitoring, and compliance technology within institutional trading environments. Exposure to OMS/CMS platforms and Fidessa Sentinel is highly preferred, but the primary focus is on deep investment compliance expertise.

Responsibilities

• Support the design, implementation, and enhancement of investment compliance controls across trading activities
• Partner with compliance, trading, operations, and technology teams to interpret regulatory requirements and implement effective monitoring solutions
• Configure and maintain pre- and post-trade compliance rules, alerts, and surveillance workflows
• Analyze trading activity, exceptions, and compliance alerts to identify potential risks and strengthen control processes
• Assist with regulatory change initiatives, ensuring systems and controls remain aligned with evolving industry regulations
• Participate in testing, validation, and optimization of compliance monitoring solutions and workflows
• Collaborate on integrations and enhancements involving OMS/CMS platforms and related trading technologies
• Document business requirements, compliance rules, and operational procedures

Qualifications

• Strong experience within investment compliance, trade surveillance, or electronic trading compliance environments
• Deep understanding of pre- and post-trade compliance, regulatory controls, and capital markets workflows
• Experience working with institutional trading desks, compliance teams, and regulatory monitoring initiatives
• Familiarity with OMS/CMS platforms and compliance monitoring tools
• Ability to translate regulatory and business requirements into system configurations and control enhancements
• Strong analytical, problem-solving, and communication skills

Preferred Qualifications

• Experience with Fidessa Sentinel or similar compliance surveillance platforms
• Exposure to regulatory reporting, market surveillance, or trading compliance initiatives
• Background supporting equities, fixed income, or multi-asset trading environments