Regulatory Specialist
New York, New York, United States
Ref#: POS-17526
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 supporting the investment management business. 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. The candidate will be a proven collaborator, self-motivated with sharp attention to detail. If you are passionate about joining a fast-paced, diverse team, we would love to meet you!
You will take on the following responsibilities:
- Responsible for various surveillance, monitoring and compliance controls providing critical support to Two Sigma’s investment management business
- Prepare regulatory filings and help draft responses to inquiries from counterparties and regulatory authorities
- 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
- Contribute to the design and implementation of controls for high-profile business initiatives including fund launches and deployment of new investment strategies
- Draft and implement policies and procedures governing investment decision-making processes and trading activities
- Monitor industry-wide compliance developments and analyze the impact on Two Sigma’s investment management business
You should possess the following qualifications:
- Bachelor’s degree (JD or MBA a plus, but not necessary)
- 3 - 5 years of professional experience in financial services, preferably at an SEC-registered investment adviser, at a regulatory agency, or at a law firm
- Knowledge of equities, fixed income, and/or futures required
- Experience with trading surveillance, data analysis, technical programming and/or SQL preferred
- Must be proactive to address issues with a sense of urgency and the drive to take on new challenges
- Demonstrated ability to effectively multi-task, prioritize, and produce results in a fast-paced environment
- Detail oriented with outstanding interpersonal, problem solving, and communication skills, so you can drive initiatives forward while keeping senior managers informed and engaged
- Ability to understand and simplify complex problems, and to provide clear and concise guidance
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
The base pay for this role will be between $75,000 and $125,000. This role may also be eligible for other forms of compensation and benefits, such as a discretionary bonus, health, dental and other wellness plans and 401(k) contributions. Discretionary bonus can be a significant portion of total compensation. Actual compensation for successful candidates will be carefully determined based on a number of factors, including their skills, qualifications and experience.
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.