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Moment · 3 weeks ago

Investment Advisor Compliance and Operational Risks Controls Manager

New York, New York, United States

Full-time

Onsite

Senior Level

$175K/yr - $225K/yr

5+ years exp

Moment is building the first operating system for fixed income, aiming to unify workflows in the financial market. The role involves serving as the chief compliance officer and developing an investment compliance framework while collaborating with management and engineering teams.

AnalyticsFinancial ServicesFinTechRisk ManagementSoftware

Responsibilities

Serving as the chief compliance officer of Moment Advisors

Working closely with Moment Advisors’ management to advise on investment advisory regulatory matters

Working closely with the engineering teams to build and maintain the Portfolio Management System, and in particular:

Developing an investment compliance framework:

Designing, building, and maintaining a framework of controls to monitor compliance risks, including:

Representing Moment in discussions with counterparties and regulators about our framework of risk controls

Qualification

Investment Advisors ComplianceSecurities ClearingSettlementTrading ProcessesHigh StandardsEffective Communication

Required

5+ years experience in securities clearing and settlement processes

Deep understanding of Investment Advisors Compliance statutory and regulatory requirements

Familiarity with trading processes (fixed income ++)

A high standard, for yourself and others, when working in a trading technology environment

Effective communication skills — ask questions, assume good intentions, default to transparency, rigor and empathy that help you thrive in a collaborative and high-performance environment