PanAgora Asset Management · 2 months ago
Director Personal Trading & Compliance
United States
Full-time
Remote
Senior Level, Lead/Staff
$125K/yr - $182K/yr
8+ years expPanAgora Asset Management is a company focused on transforming financial lives by empowering its employees. The Director of Personal Trading and Compliance will lead the Code of Ethics and personal trading oversight, manage a compliance team, and ensure adherence to regulatory standards.
FinanceFinancial Services
No H1B
Responsibilities
Oversee daily monitoring of personal trading for all Access Persons and Covered Associates, including pre-clearance, account disclosures, and review of trade activity
Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal policies
Lead, coach, and develop a team of Compliance professionals with clear goals, mentorship, and feedback
Partner with business, Legal, and Risk leaders to embed compliance expectations into processes and decision-making
Track and report key program metrics, escalating issues and recommending remediation when needed
Develop and maintain policies, procedures, and training related to personal trading and Code of Ethics
Monitor regulatory developments and guide updates to Empower’s compliance framework
Support sub-adviser and vendor due diligence, including data collection, certifications, and on-site reviews
Collaborate with technology teams to enhance compliance systems, analytics, and automation using sound governance controls
Present program updates and insights to senior leadership, Compliance committees, and boards
Qualification
Required
Bachelor's degree or equivalent experience (law degree preferred)
8+ years of compliance experience under the Investment Advisers Act, Investment Company Act, Exchange Act, and FINRA rules
Strong background managing personal trading and Code of Ethics programs for large adviser and broker-dealer populations
Demonstrated leadership managing compliance or risk teams
Proven ability to assess control environments and drive effective remediation
Deep understanding of industry regulations and operational best practices
Excellent communication, analytical, and relationship-building skills
Strong judgment, discretion, and integrity in handling sensitive information
Experience navigating dynamic, fast-growing financial environments
Preferred
FINRA Series 6, 7, 24, or 65 licenses (or ability to obtain within set timelines)
Experience leading compliance technology or automation initiatives
Familiarity with AI tools and data-driven compliance solutions
Prior experience presenting to boards or senior committees
Strong strategic and operational mindset with the ability to simplify complex issues
Record of proactive engagement with regulators and internal partners
Track record of building high-performing, collaborative compliance teams
No history of regulatory findings or sanctions
Benefits
Medical, dental, vision and life insurance
Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
Tuition reimbursement up to $5,250/year
Business-casual environment that includes the option to wear jeans
Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
Paid volunteer time — 16 hours per calendar year
Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
Company
PanAgora Asset Management
PanAgora Asset Management is a quantitative investment manager whose proprietary approach is designed to capitalize on inefficiencies across market cycles and to deliver relative and absolute returns through distinct and innovative equity, multi-asset and risk premia strategies.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Eric Hevering Sorensen
CEO
Recent News
2025-10-31
2025-08-14
2025-07-04
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