Compliance Officer - Quant Trading

About the role

Provide ongoing compliance advisory to the Firm’s largest portfolio manager. Experience with addressing algorithmic/systematic trading matters is preferred, with an understanding of model-based trading and investment/execution algorithms. Address trading matters related to fully automated trading.

Responsibilities

• Assist with the administration of the Firm’s global Quantitative Trading Compliance program
• Monitor regulatory changes, updates, and industry-wide compliance initiatives
• Assist with regulatory examinations, inquiries, investigations, and projects, as necessary
• Assist with drafting and amending compliance-related policies and procedures
• Create presentation materials for senior management
• Prepare and conduct compliance trainings
• Conduct ongoing compliance reviews

Requirements

• 8+ years of experience
• Experience at a regulatory authority, bank/broker, or buy-side firm addressing compliance issues within Algorithmic/Systematic trading is preferred
• Bachelor’s degree in Computer Science, Finance, Economics, or similar with a strong academic record is preferred

Skills

• Strong analytical and conceptual problem-solving skills with great attention to detail
• Strong sense of ownership and personal responsibility, with the ability to prioritize, multi-task, and manage deadlines
• Strong written and verbal communication skills with the ability to coordinate efforts across teams
• Strong project management skills with an understanding of financial markets and the investment lifecycle
• Good team player with a strong willingness to participate and help others