Senior Regulatory Specialist: Private Investments

New York, New York, United States

Ref#: POS-12577

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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.

Sightway Capital is a Two Sigma business focused on middle market growth equity investing in financial services and real assets. We  employ a principal mindset and flexible capital approach to building business platforms with experienced operators and strategic partners. Our team at Sightway Capital thinks long-term, targeting business opportunities that we believe afford both asymmetric risk rewards and enterprise value creation over time. We  look for opportunities in and around several asset-intensive industries where our team has significant experience and a network of long-standing relationships.

We are seeking a proactive and detail-oriented Senior Regulatory Specialist to join the TSPI Regulatory Compliance Team.  In this role, the Senior Regulatory Specialist will take part in administering and enhancing the company’s compliance program, including promoting the culture of compliance throughout the organization.  In this role you will be engaged in the (i) administration of the Private Investments and Ventures regulatory compliance program through the implementation, execution and testing of established controls, (ii) strategic development of the regulatory compliance program and enhancement of the technology platform, and (iii) advising the Private Investments and Ventures investment professionals on adherence to applicable policies, rules and regulations.

You will take on the following responsibilities:
  • Developing and implementing policies and procedures, controls, trainings and technological solutions associated with the TSPI regulatory compliance program;
  • Contributing to the design and implementation of solutions to major business/area issues;
  • 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 TSPI Legal & Regulatory Team 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
  • Managing the TSPI regulatory compliance monitoring and testing program.

You should possess the following qualifications:
  • Bachelor’s degree from a top university (JD and/or MBA a plus but not necessary);
  • 6+ years’ relevant compliance experience at an SEC registered investment adviser (private equity or hedge fund) and/or experience at a relevant regulatory agency (e.g., SEC, CFTC, NFA);
  • 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;
  • Experience in conducting and implementing compliance surveillance and testing programs;
  • 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;
  • Ability to prioritize, multi-task, and manage expectations in a fast-paced environment.
  • Extraordinarily strong analytical and written and oral communication skills; and
  • A proven ability to multitask, work both independently and as a team player, and able to prioritize tasks in a fast-paced environment.

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.