Compliance & Regulatory — Financial Services

Manage the compliance program — ADV updates, 13F filings, Form PF, code of ethics, personal trading pre-clearance, marketing review, and the annual compliance review. Monitor trade surveillance for insider trading indicators, front-running, and cherry-picking. Manage examinations — SEC, FINRA, state — and the remediation that follows. Track regulatory changes across jurisdictions and assess impact on the business. The regulatory surface area keeps expanding and the enforcement environment is aggressive.

Monitor trading activity for insider trading, front-running, market manipulation, and allocation fairness. Review alerts from surveillance systems, investigate suspicious patterns, and prepare SARs when necessary. The false positive rate is nearly all+ — you spend most of your time clearing alerts that are legitimate trades.