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Join a top-tier investment firm backing breakthrough biopharma companies worldwide. With billions raised and dozens of IPO and M&A exits, this team sits at the intersection of finance and science, helping bring life-changing therapies to market. This role is ideal for someone early in their compliance career who wants real exposure, smart teammates, and meaningful work. You’ll partner closely with Trading, Legal, and Finance to support trade oversight, regulatory filings, and surveillance across public market investments.
Job Responsibility:
Review trade authorizations and monitor daily trading activity
Support pre-trade checks, restricted lists, and trade approvals
Prepare and coordinate SEC filings (Forms 4, 5, 13D/G)
Perform trade surveillance, compliance testing, and exam support
Improve trade monitoring systems and workflows
Partner with internal teams on accurate trade data and controls
Assist with training on trading rules, MNPI, and policies
Requirements:
2-5 years in investment compliance, trade surveillance, fund ops, or related legal work
Working knowledge of public-company trading rules and insider-trading controls
Strong attention to detail with solid analytical and communication skills
Experience supporting firms trading public securities preferred