Core Compliance Specialist

New York, New York, United States

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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 proactive and detail-oriented Specialist to join the Core Compliance Team in Two Sigma’s Legal & Regulatory Department.  In this role, the Specialist will take part in administering and enhancing the firm’s Core Compliance program, including promoting the culture of compliance throughout the organization.

Core Compliance Team:

The Core Compliance team is responsible for the main aspects of the firm’s employee facing compliance program. Each member of the team is responsible for administration of assigned policies and procedures, some of which include:

  • Code of Ethics (Personal Trading);
  • Outside Activities;
  • Gifts & Entertainment;
  • Political contributions;
  • Social media; and
  • Electronic communications.

You will take on the following responsibilities:

  • Assisting with the development of policies and procedures, controls, trainings and technological solutions associated with the Core Compliance program;
  • Assisting with the implementation of solutions to business/area problems;
  • 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 & Regulatory 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; and
  • Conducting forensic tests in several key Core Compliance areas.

You should possess the following qualifications:

  • Bachelor’s degree from a top university;
  • 2-4 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);
  • 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 solutions and 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;
  • Exhibit poise and solid judgement when interfacing with senior personnel;
  • Strong written and oral communication skills;
  • A proven ability to multitask, work both independently and as a team player, and able to prioritize tasks in a fast-paced environment; and
  • Experience utilizing 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

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.