Broker Dealer Compliance Officer

New York, New York, United States

Ref#: POS-16320

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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.

The Two Sigma Securities (TSS) Compliance Officer will provide compliance support to the broker dealer across all its businesses, with a specific focus on wholesale market making and related broker dealer client facing businesses. 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 also be thinking strategically for their respective coverage areas. Does this sound like you? If so, we want to speak to you!

You will take on the following responsibilities: 
  • Specific responsibility for assisting the CCO with developing and coordinating a compliance program around automated trading with a focus on a wholesale market making and related client facing 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.
  • Significant demonstrable experience with Best Execution, Trade Reporting, CAT Reporting, Reg NMS, and Reg SHO.
  • Conduct surveillance reviews, draft supervisory procedures, respond to regulatory inquiries for all businesses.
  • Collaborate with securities regulators and examiners. 
  • Build deep and positive relationships with coverage areas and counterparts in other supporting roles (legal, ops etc.).
  • Be upbeat and passionate about digging into the details; demonstrate a thirst for knowledge and learning.
  • Build out compliance programs around new businesses as needed.

You should possess the following qualifications: 
  • BA/BS
  • 6 - 10 years relevant compliance experience, with at least 4 years related to automated trading strategies.
  • Entrepreneurial/pragmatic attitude toward solving problems.
  • Work well in a team environment. 
  • Willing to get involved in all aspects of the compliance program when needed to assist other team members as needed.
  • Ability to read and interpret technical specification documents.
  • Ability to provide comprehensive compliance specifications to engineering, quantitative researchers and business partners. 
  • Series 7, 57 and 24 preferred.

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
  • Hybrid Work Policy: Flexible in-office days with budget for home office setup

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.