Compliance Officer - Quant Trading

Millennium • Greenwich, CT

5d

About The Position

The Compliance Officer - Quant Trading will provide ongoing compliance advisory to the Firm’s largest portfolio manager. This role involves addressing trading matters related to fully automated trading and assisting with the administration of the Firm’s global Quantitative Trading Compliance program. The officer will monitor regulatory changes, assist with regulatory examinations, and draft/amend compliance policies and procedures. Additionally, the role requires creating presentation materials for senior management, conducting compliance trainings, and performing ongoing compliance reviews.

Requirements

• 8+ years of experience
• Strong analytical / conceptual problem-solving skills with great attention to detail
• Strong sense of ownership and personal responsibility, with the ability to prioritize, multi-task, and manage deadlines
• Strong written and verbal communication skills with the ability to coordinate efforts across teams
• Strong project management skills with an understanding of financial markets and the investment lifecycle
• Good team player with a strong willingness to participate and help others

Nice To Haves

• Experience with addressing algorithmic/systematic trading matters
• Understanding of model-based trading and investment/execution algorithms
• Experience at a regulatory authority, bank/broker or buy-side firm addressing compliance issues within Algorithmic/Systematic trading is preferred
• Bachelor’s degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred

Responsibilities

• Provide ongoing compliance advisory to the Firm’s largest portfolio manager
• Address trading matters related to fully automated trading
• Assist with the administration of the Firm’s global Quantitative Trading Compliance program
• Monitor regulatory changes, updates and industry-wide compliance initiatives
• Assist with regulatory examinations, inquiries, investigations and projects, as necessary
• Assist with drafting and amending compliance related policies and procedures
• Create presentation materials for senior management
• Prepare and conduct compliance trainings
• Conduct ongoing compliance reviews

What This Job Offers

• Job Type: Full-time
• Career Level: Senior