Analyst, Core Compliance

New York, New York, United States

Ref#: POS-16317

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Two Sigma is a financial sciences company, combining data analysis, invention, and rigorous inquiry to help solve the toughest challenges in investment management, insurance technology, securities, private equity, and venture capital. 

Our team of scientists, technologists, and academics looks beyond the traditional to develop creative solutions to some of the world’s most complex economic problems. 

We are seeking a proactive and detail-oriented Analyst to join our Core Compliance Team. In this role you will implement and enhance the firm’s Core Compliance program, including promoting a culture of compliance throughout Two Sigma. Each member of the team is responsible for the administration of assigned policies and procedures, some of which include: 
  • Code of Ethics (Personal Trading) 
  • Outside Activities 
  • Gifts & Entertainment 
  • Political contributions 
  • Social media 
  • Electronic communications 

The ideal candidate should have the ability to quickly master unfamiliar and complex concepts and distill them into concise and comprehensive solutions. You must show good judgement, integrity, and professional demeanor that instills confidence in others. Our team seeks candidates who operate in an honest, respectful, and collaborative way, and who are intellectually curious. You should be comfortable analyzing and using complex data to help make pragmatic decisions and recommendations to business constituents and firm management. 

If you are a self-starter that thinks critically and you are motivated about joining a fast-paced, dynamic team, we'd love to meet you! 

You will take on the following responsibilities: 
  • Support the development of policies and procedures, controls, trainings and technological solutions associated with the Core Compliance program 
  • Collaborate on the implementation of solutions to business/area problems 
  • Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact Two Sigma 
  • Liaise with business partners, the Legal & Regulatory Department and outside service providers to identify and mitigate compliance risks 
  • Analyze the impact of new business initiatives and investment products on the compliance program 
  • Field inquiries from employees and management on compliance matters 
  • Conduct forensic tests in several key Core Compliance areas 

You should possess the following qualifications: 
  • BA/BS required 
  • Minimum 1 year of experience required; preferred 1 - 3 years of relevant compliance experience at an SEC registered investment adviser and/or experience at a relevant regulatory agency (e.g., SEC, CFTC, NFA, or FINRA) 
  • An understanding of the US securities laws, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933 
  • Proficient knowledge of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA) 
  • Strong written/verbal communication and interpersonal skills
  • Experience using Compliance technology platforms (e.g., ComplySci) 

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 

The base pay for this role is anticipated to be between $100,000 and $200,000. The anticipated base pay range is based on information as of the time this post was generated. 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.

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.