Compliance Analyst
Millennium · New York, NY · 5 days ago
On-siteLegal$70k–$160k/yrFull-time
Qualifications/Skills Required
- 3+ years of experience
- Experience at a regulatory authority, bank/broker or buy-side firm
- Experience with addressing algorithmic/systematic trading matters, 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
- An understanding of global financial markets, including market structure
- A general understanding of Artificial Intelligence, including current regulatory focus areas
- Strong analytical / conceptual problem-solving skills with attention to detail
- A strong sense of ownership and personal responsibility
- The ability to prioritize, multi-task, and manage deadlines while successfully completing assignments
- Strong written and verbal communication skills
- Proficiency in Microsoft PowerPoint and Excel
- A strong team player with a willingness to participate and help others
Position Details
- Assist with the administration of the Firm’s global Quantitative Trading Compliance program, including the initial vetting and ongoing review 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
- Assist with regulatory examinations, inquiries, investigations, and projects, as necessary
- Affiliate with drafting and amending compliance-related policies and procedures
- Prepare and conduct compliance trainings