Compliance, Two Sigma Securities (Contract)
New York, New York, United States
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.
Two Sigma Securities brings a scientific approach to systematic trading and risk management to make markets more efficient. Our team trades globally across asset classes, leveraging our high performance trading system to regularly execute over a billion shares per day. We value the insights of our colleagues and encourage them to innovate and shape their work agenda. New joiners use our proprietary platform to work on diverse projects. From building next generation trading technologies and researching novel AI and machine learning techniques to enhancing our strategies and deploying automation, our team is pushing the frontier in systematic trading.
We are seeking a hardworking, driven individual to join the compliance team on a contract basis. The successful candidate will provide compliance support to the broker dealer across all its businesses, with specific focus on core compliance functions such as registrations, personal trading, gifts and entertainment. They should demonstrate an entrepreneurial drive, and have a high degree of focus.
The role offers opportunities to collaborate with several teams within the company and gain hands-on experience in a dynamic compliance function. If this sounds like the kind of environment you thrive in, we’d love to hear from you!
You will take on the following responsibilities:
- Onboarding Employees: This includes setting new employees up inn applicable groups conducting new hire training, obtaining applicable attestations, working with managers to appropriately classify employees, file applicable paperwork with FINRA (NRF, U4) follow up with employee to make sure their items are completed following up with applicable teams in TS to obtain information about background checks etc.
- Off boarding Employees: This includes working with managers, hr and others to make sure we are aware when employees leave and file the applicable paperwork with FINRA.
- Registrations: This includes filing initial U4 explaining how to obtain study materials, updating U4 for changes eg addresses etc. Making sure employees complete the filings and documenting if persons take the exams
- Outside Business Activities / Private Investments: Drafting memos and getting approvals for various employee private investments and outside business activities. File updates as necessary with FINRA.
- Personal Trading: Monitor personal trading accounts, send 3210 letters, update the settings in electronic feeds for new and existing employee accounts
- Attestations: Manage employee attestation process, setup the attestation and ensure its completion.
- Training Manage employee training process, setup the attestation and ensure its completion.
- Employee files: Manage and update employee files.
- ComplySci: Working to onboard ComplySci for personal trading and private investments.
You should possess the following qualifications:
- BA/BS with 2 - 5 years of relevant experience
- Understanding of FINRA Gateway system
- Knowledge and familiarity with Microsoft Office and GSuite.
- Entrepreneurial/pragmatic attitude toward solving problems
- Strong attention to detail
- Excellent organizational and time-management skills required; ability to work independently
- Self-awareness, maturity and irreproachable integrity
- Good communication skills, both written and verbal
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.