Compliance Analyst

Millennium•New York, NY

1d•$70,000 - $160,000

About The Position

Assist with the administration of the Firm’s global Quantitative Trading Compliance program, including the initial vetting and ongoing review of portfolio management teams against the Firm’s Algorithmic Trading Policy Monitor regulatory changes, updates and industry-wide compliance initiatives, and conduct ongoing analyses to enhance Firm’s global Quantitative Trading Compliance program Assist with regulatory examinations, inquiries, investigations and projects, as necessary Assist with drafting and amending compliance related policies and procedures Prepare and conduct compliance trainings

Requirements

3+ years of experience
Experience at a regulatory authority, bank/broker or buy-side firm
Experience with addressing algorithmic/systematic trading matters is preferred, with an understanding of model-based trading and investment/execution algorithms
Bachelor’s degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred
An understanding of global financial markets, including market structure, is preferred
General understanding of Artificial Intelligence, including current regulatory focus areas
Strong analytical / conceptual problem-solving skills with attention to detail
Strong sense of ownership and personal responsibility
Ability to prioritize, multi-task, and manage deadlines while successfully completing assignments
Strong written and verbal communication skills
Ability to create presentation materials for senior management
Proficient in Microsoft PowerPoint and Excel
Good team player with a strong willingness to participate and help others

Nice To Haves

Experience with addressing algorithmic/systematic trading matters is preferred, with an understanding of model-based trading and investment/execution algorithms
Bachelor’s degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred
An understanding of global financial markets, including market structure, is preferred

Responsibilities

Assist with the administration of the Firm’s global Quantitative Trading Compliance program, including the initial vetting and ongoing review of portfolio management teams against the Firm’s Algorithmic Trading Policy
Monitor regulatory changes, updates and industry-wide compliance initiatives, and conduct ongoing analyses to enhance Firm’s global Quantitative Trading Compliance program
Assist with regulatory examinations, inquiries, investigations and projects, as necessary
Assist with drafting and amending compliance related policies and procedures
Prepare and conduct compliance trainings

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