Compliance Officer
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Position Details
- Assist in the management of the Firm’s global Quantitative Trading Compliance program, including ownership of the initial vetting and ongoing review processes of portfolio management teams against the Firm’s Algorithmic Trading Policy.
- Monitor regulatory changes, updates and industry-wide compliance initiatives, and conduct ongoing analyses to enhance the Firm’s global Quantitative Trading Compliance program.
- Update senior team members on the status of the Quantitative Trading Compliance program, including current reviews completed, ongoing enhancements, and global updates.
- Assist with regulatory examinations, inquiries, investigations, and projects, as necessary.
- Assist with drafting and amending compliance-related policies and procedures.
- Prepare and conduct compliance trainings.
Qualifications / Skills Required
- 7+ years of experience.
- Experience at a regulatory authority, bank / broker, or buy-side firm.
- Experience with addressing algorithmic / systematic trading matters is preferred, with an understanding of model-based trading and investment / execution algorithms.
- Bachelor’s degree in Computer Science, Finance, Economics, or similar with a strong academic record is preferred.
- An understanding of global financial markets, including market structure, is preferred.
- Strong analytical / conceptual problem-solving skills with attention to detail.
- Strong sense of ownership and personal responsibility.
- Ability to prioritize, multi-task, and manage deadlines while successfully completing assignments.
- Strong written and verbal communication skills, as well as the ability to coordinate efforts and projects across teams and departments.
- Ability to prepare presentation materials for senior management.
- Proficiency in Microsoft PowerPoint and Excel.
- Good team player with a strong willingness to participate and help others.
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