Regulatory Specialist - Portfolio Management & Trading

New York, New York, United States

Ref#: POS-12775

Share with: Facebook Twitter Send to a friend

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 highly motivated and hardworking professional with exceptional communication skills to join the Legal & Regulatory team.  In this role, you will join the team that is responsible for monitoring and supporting the firm’s portfolio management and trading activities, which span across equities, futures, FX, and derivatives in 40+ countries.  You must be detail-oriented, level-headed, and accustomed to collaborating with a team on tight deadlines.

You will take on the following responsibilities:
  • Responsible for a range of surveillance, monitoring and compliance controls that provide critical support to a broad range of business lines
  • Provide real-time support to portfolio management teams and trading desks on matters that impact the investment process, and the firm’s fiduciary duties and regulatory obligations
  • Draft and implement policies and procedures governing the firms’ investment decision-making processes and trading activities 
  • Review and/or prepare regulatory documentation, reports and filings in preparation for, and in response to, inquiries from regulatory authorities
  • Develop and implement controls to support new business initiatives, and to increase efficiencies in the administration and automation of the compliance program

You should possess the following qualifications:
  • Bachelor’s degree (JD or MBA a plus but not necessary)
  • At least three years of professional experience, preferably in financial services, at a regulatory agency, or at a law firm
  • Knowledge of equities, fixed income and/or futures required
  • Experience with trading surveillance, technical programming and/or SQL preferred 
  • Detail oriented with outstanding organizational, and oral and written communication skills, so you can drive initiatives forward while keeping senior managers informed 
  • Demonstrated ability to effectively multi-task, prioritize, and produce results in a fast-paced environment; must be proactive to address issues with a sense of urgency and have the willingness to take on new challenges 
  • Ability to understand complex problems, and provide clear and concise guidance 
  • Exhibit poise and solid judgement when interfacing with senior personnel 

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.