Broker Dealer Compliance

Location: New York, New York, United States

Ref#: POS-5768

Share with: Facebook Twitter Send to a friend

Two Sigma Securities, LLC is a broker-dealer registered with the SEC, one of the major U.S. equity exchanges and a registered market maker in over 8,000 U.S. exchange listed equities. Backed by a high performance, proprietary platform, the firm facilitates the execution of more than 300 million shares per day. We are the market-making affiliate of Two Sigma Investments, LP and a member of FINRA and SIPC. For more information, please visit twosigmasecurities.com.

Provide compliance support to the broker dealer across all its businesses, with specific focus on wholesale market making and algorithmic trading. The successful candidates will be responsible for daily support, drafting written supervisory procedures, surveillance report development, reviewing surveillance reports, issue identification and the ability to offer pragmatic solutions to monitor/prevent issues. Candidates should demonstrate an entrepreneurial drive, and should be thinking strategically for their respective coverage areas.

You will take on the following responsibilities:
  • Specific responsibility for assisting the CCO with developing and administering a compliance program around wholesale market making and algorithmic trading businesses
  • Demonstrate microstructure knowledge of how markets work, issues residing in the markets and be able to speak of the impact they have had on their business counterparts
  • Provide compliance advice relative to the equities and futures business.
  • Conduct surveillance reviews, draft supervisory procedures, respond to regulatory inquiries for all businesses
  • Interface with securities regulators and examiners
  • Build deep and trusting relationships with coverage areas and counterparts in other supporting roles (legal, ops etc.)
  • Be energetic and passionate about digging into the details; demonstrate a thirst for knowledge and learning
  • Build out compliance programs around new businesses
You should possess the following qualifications:
  • 10 years of relevant compliance experience to automated trading strategies
  • Substantial knowledge of Reg NMS, Reg SHO and other regulations relevant to automated trading businesses
  • Entrepreneurial/pragmatic attitude toward solving problems
  • Series 7 and 24 preferred
You will enjoy the following benefits:
  • Core Benefits: Fully paid medical and dental insurance premiums for employees and dependents, 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, sick days, and paid caregiver leaves
We are proud to be an equal opportunity workplace. We do not discriminate based upon race, religion, color, national origin, sex, sexual orientation, gender identity/expression, age, status as a protected veteran, status as an individual with a disability, or any other applicable legally protected characteristics. 
Apply Now