Core Compliance Associate
New York, New York, United States
Core Compliance Associate:
We are seeking a proactive and detail-oriented compliance associate to join the Core Compliance Team. In this role, the associate will take part in administering and enhancing the firm’s compliance program, as well as promoting the culture of compliance throughout the organization.
Core Compliance Team:
The team is responsible for the main aspects of the firm’s compliance program that are not directly connected to investing in and trading securities and other financial instruments for the firm’s clients. Each member of the team is responsible for administration of assigned policies and procedures, some of which include:
- Political contributions;
- Investor communications, foreign and domestic fund marketing;
- Global Investment Performance Standards (GIPS);
- Lobbying activities;
- Social media;
- Electronic communications; and
- Anti-Money Laundering.
Responsibilities for this role will include, among others:
- Monitoring 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;
- Liaising with business partners, the Legal Department and outside service providers to identify and mitigate compliance risks;
- Analyzing the effect of new business initiatives and investment products on the compliance program;
- Fielding inquiries from employees and management on compliance matters;
- Initiating training and drafting training materials;
- Facilitating an annual review of compliance policies;
- Assisting in preparing for and responding to inquiries and audits from regulatory authorities;
- Supporting the drafting and maintenance of compliance policies and procedures and assisting in the development of regulatory reporting and regulatory filings; and
- Conducting forensic tests in several key compliance areas.
- Bachelor’s degree from a top university (a JD is preferred);
- 1-4 years of experience in compliance at an SEC registered investment adviser, securities law experience at a law firm, and/or experience at a relevant regulatory agency (e.g., SEC, CFTC, NFA, or FINRA);
- A strong 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;
- A solid understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA);
- Ability to quickly master unfamiliar and complex concepts and distill them into concise and comprehensive guidance;
- Strong judgement, integrity, and professional demeanor that instills confidence in others
- Ability to make pragmatic decisions and recommendations to business constituents and firm management;
- Strong written and oral communication skills; and
- A proven ability to multi-task, work both independently and as a team player, and able to prioritize tasks in a fast-paced environment.