Trading Compliance, VP

About the role

Two Sigma is a leading quantitative investment management and trading firm. The company applies a scientific approach to investing, combining cutting-edge technology, artificial intelligence, data science, and quantitative research with rigorous human inquiry to capitalize on market opportunities and deliver alpha for investors. We are seeking a versatile compliance professional to join our investment management Compliance team, providing compliance support to an array of business initiatives with a primary focus on supporting our trading platforms.

The ideal candidate is a compliance professional with a talent for conceptualizing and implementing compliance processes and who has a curiosity about finance, data, and technology. The candidate must be a proven collaborator and self-motivator with sharp attention to detail. If you are enthusiastic about joining a fast-paced, diverse team where creative versatility drives brand excellence, we would love to meet you!

Responsibilities

• Provide real-time support to portfolio management teams and trading desks on matters that impact the investment process and imply the firm’s fiduciary duties and regulatory obligations
• Contribute to the design and implementation of controls for business initiatives, including fund launches and new investment strategies
• Draft and implement policies and procedures governing investment decision-making processes and trading activities
• Monitor industry-wide compliance developments and analyze the impact on Two Sigma’s investment management business
• Implement various surveillance, monitoring and compliance controls that are critical to the investment management activities conducted by Two Sigma
• Assist in responding to regulatory examinations and inquiries

Qualifications

• Bachelor’s degree (JD or MBA a plus, but not necessary)
• 7-10 years of professional experience in financial services, preferably at an SEC-registered investment adviser, at a regulatory agency, or at a law firm, and preferably in a legal/compliance role
• Knowledge of equities, fixed income, and futures products required
• Excellent compliance judgment, and the ability to think about the “big picture” to make informed strategic decisions
• Experience with drafting policies, procedures, and investor-facing disclosure language strongly preferred
• Experience with trading surveillance, data analysis, technical programming and/or SQL preferred; proficiency with artificial intelligence tools is also preferred
• Must be proactive to address issues with a sense of urgency and driven to tackle new challenges
• Demonstrated ability to multi-task, prioritize, and produce results in a fast-paced environment
• Detail oriented with outstanding interpersonal, problem solving, and communication skills, so you can drive initiatives forward while keeping senior managers informed and engaged
• Ability to understand and simplify complex problems, and to provide clear and concise guidance
• Exhibit poise, solid judgment, and strong communication skills when interfacing with senior personnel
• Experience managing people is strongly preferred

Benefits

• Core Benefits: Fully paid medical and dental insurance premiums for employees and dependents, competitive 401k match, employer-paid life & disability insurance
• Perks: Onsite gyms with laundry service, wellness activities, casual dress, snacks, game rooms
• Learning: Tuition reimbursement, conference and training sponsorship
• Time Off: Generous vacation and unlimited sick days, competitive paid caregiver leaves
• Hybrid Work Policy: Flexible in-office days with budget for home office setup

Pay

The base pay for this role will be between $175,000 and $250,000. This role may also be eligible for other forms of compensation and benefits, such as a discretionary bonus, health, dental and other wellness plans and 401(k) contributions. Discretionary bonus can be a significant portion of total compensation. Actual compensation for successful candidates will be carefully determined based on a number of factors, including their skills, qualifications and experience.