Senior Regulatory Officer - Portfolio Management & Trading

Location: New York, New York, United States

Ref#: POS-12125

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Two Sigma is a different kind of investment manager. Since 2001, we have used data science and technology to derive insights that forecast the future and discover value in markets worldwide. Our team of scientists, technologists and academics looks beyond traditional finance to understand the bigger picture and develop creative solutions to some of the world’s most difficult economic problems. Our work spans markets and industries, from insurance and securities to private investments and new ventures.

We are seeking an experienced compliance professional with exceptional communication skills to play a key role in the operationalization, administration, and enforcement of Two Sigma’s Portfolio Management and Trading compliance program.  In this role as part of the Legal & Regulatory department, you will lead a key portion of the team that is responsible for monitoring and supporting the firm’s portfolio management and trading activities, which span across equities, futures, FX, and derivatives in 40+ countries.  You must be results-oriented, level-headed, and accustomed to working with a team on tight deadlines.

You will take on the following responsibilities:
  • Lead a team that is responsible for independently handling the day-to-day coverage of the firm’s policies and procedures with respect to portfolio management and trading activities
  • Provide real-time guidance and support to the businesses and trading desks on matters that impact the investment process, and the firm’s fiduciary duties and global regulatory obligations
  • Draft and implement policies and procedures governing the firms’ investment decision-making processes and trading activities 
  • Review and/or prepare regulatory documentation, reports and filings in preparation for, and in response to, inquiries and audits from regulatory authorities
  • Design and implement controls to support new business initiatives, investment products and markets
  • Develop and implement strategic compliance initiatives to position the firm for business expansions or regulatory changes, and to increase efficiencies in the administration and automation of the compliance program
  • Support the annual review of the firm’s compliance program including by thoroughly assessing the scope and efficacy of existing policies, procedures and controls 
You should possess the following qualifications:
  • At least 7 years of experience as a compliance or legal professional at a broker-dealer, a mid- or large-sized investment advisory firm/hedge fund that has a sizable trading platform (preferably in equities, futures and/or derivatives across global markets); experience at a financial services compliance and/or regulatory practice at a major consulting firm or at the SEC, CFTC or FINRA is also suitable
  • Experience managing a team, comfortable delegating work, growing and mentoring professionals, and reviewing complex materials
  • Outstanding organizational, and oral and written communication skills, so you can lead a team of experienced professionals and drive initiatives forward, while keeping senior managers informed 
  • Solid understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA, FSA) and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
  • Experience with high volume of trading activity for both equities and futures across global markets (experience with OTC derivatives or fixed income securities is also suitable). Understanding of specific quantitative investment management and algorithmic trading is preferred
  • Demonstrated ability to thrive and prioritize in a fast-paced environment 
  • Ability to understand complex problems and provide clear, concise guidance to aid in their resolution
  • Ability to collaborate with, teach to and learn from the rest of the Legal & Regulatory team 
  • Exhibit poise and solid judgement when interfacing with senior personnel 
  • Desire and drive to build deep and trusting relationships with business coverage areas and counterparts in other support roles or control functions
You will enjoy the following 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
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.

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