Trading Compliance Analyst
New York, New York, United States
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 a hardworking individual to play a key role in the operationalization and administration of Two Sigma’s trading compliance program. The goal of this role is to improve and support a compliance program tailored to the firm’s portfolio management activities and trading practices.
You will take on the following responsibilities:
- Provide real-time guidance and support to the businesses on matters that impact the investment process and the firms’ fiduciary duties and regulatory obligations;
- Research current and proposed rules and regulations on a global basis;
- Draft and implement policies and procedures governing the firms’ investment decision-making processes and trade execution activities;
- Prepare regulatory documentation, reports and filings in preparation for, and response to, inquiries and audits from regulatory authorities;
- Establish controls to support new business initiatives, investment products and markets;
- Assist with the design and roll-out of compliance strategic initiatives and projects to increase efficiencies in the administration of the compliance program;
- Identify, develop and provide compliance trainings
You should possess the following qualifications:
- Between 1-3 years of experience as a compliance professional or analyst at a broker-dealer, a mid- or large-sized investment advisory firm or hedge fund;
- Understanding of regulatory/self-regulatory agencies (e.g., SEC, FINRA, NYSE, FSA, CFTC)
- The ability to work in a fast-paced environment where priorities must be reassessed continually;
- Desire and drive to build deep and trusting relationships with business coverage areas and counterparts in other support roles or control functions;
- Outstanding organizational and interpersonal skills such that you can drive your work and initiatives forward independently while also keeping their manager informed;
- Capable of collaborating with individuals of varying levels of seniority across the organization; and
- Ability to understand complex problems and provide clear, concise guidance to aid in their resolution.
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, bi-annual company events.
- Time Off: Generous vacation, sick days, and paid caregiver leaves