Description Ready to Take the Next Step? Let’s Connect! If this opportunity feels like a strong match for your background, apply today and send your resume to JC del Rosario via LinkedIn—I’d welcome the chance to connect and learn more about you. Trade Compliance Analyst / Associate About the Firm We’re partnering with a leading global investment firm focused on both private and public markets. The firm manages several billion in capital and invests across innovative, fast‑growing sectors. With a collaborative, high‑performing team and a strong reputation for disciplined, research‑driven investing, the firm offers a stable and supportive environment for long‑term career development. The Trade Compliance Analyst/Associate plays a critical role in maintaining regulatory oversight across public investment strategies. This individual will monitor trading activity, ensure adherence to internal policies and securities laws, and support the firm’s compliance program. The role sits within the Compliance team and works cross‑functionally with Legal, Operations, and Investment professionals. This position reports to the Chief Compliance Officer. Why This Role Stands Out + Highly collaborative compliance and legal environment + Strong work‑life balance with predictable hours + Excellent mentorship and long‑term career stability + Hybrid schedule in a modern, well‑equipped office + Competitive compensation and comprehensive benefits Key Responsibilities Trade Surveillance & Monitoring + Assist with preparing trade authorization forms + Conduct daily reviews of trade activity across multiple funds + Identify exceptions, trends, or regulatory filing obligations + Support pre‑trade checks, restricted list monitoring, and trade approvals + Initiate regulatory filings, including: + Forms 4 and 5 + Forms 13D/G + Other SEC‑required submissions + Coordinate with Legal and external counsel as needed + Support compliance testing, reporting cycles, and regulatory examinations Compliance Program Support + Help enhance trade surveillance systems, data processes, and internal controls + Contribute to risk assessments and gap analyses involving MNPI and information‑barrier practices + Support employee training related to MNPI, restricted lists, and trading rules + Partner with Trading, Finance, and Accounting teams to ensure accurate and complete trade data Compensation & Benefits + Competitive base salary plus annual bonus + Comprehensive medical, dental, and vision coverage + Life and long‑term disability insurance + Attractive 401(k) program + Hybrid working model + Supportive team with strong investment in your long‑term development Requirements Ready to Learn More? If you’re excited to explore this opportunity, apply today and send your resume to JC del Rosario via LinkedIn—I’d love to connect and see how this role aligns with your career goals! Qualifications + Bachelor’s degree + 1–3 years of relevant experience in: + Investment adviser compliance, trade surveillance, or operations + Public company reporting + Legal or paralegal work supporting public‑company or hedge‑fund clients + Experience with public‑company trading rules, insider‑trading regulations, and MNPI controls + Knowledge of Section 16 and Section 13 filing requirements + Strong analytical, organizational, and communication skills + High attention to detail and strong judgment + Experience supporting compliance for firms trading public securities is preferred + Prior exposure to SEC or FINRA exams is a plus Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles. Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information. © 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) and Privacy Notice (https://www.roberthalf.com/us/en/privacy) .