Legal and Compliance Infrastructure Data, Associate/Vice President
About The Position
We are currently seeking an exceptionally talented individual with three to six years of experience working in the investment management industry to join our Compliance Department. Perform analysis and use data science to build pipelines that feed into compliance monitoring and reporting processes. Create functional requirements, specifications, and designs for analytics-driven solutions supporting compliance and regulatory operations. Partner with software engineers and legal/compliance professionals to develop and refine solutions; contribute hands-on via coding, conducting data analysis, and constructing applications. Explore and integrate new tools and third-party platforms to enhance compliance monitoring, data pipelines, and business analysis. Contribute new ideas and continuous improvements to the firm's legal and compliance infrastructure. Design and implement systems and processes in the legal and compliance control framework.
Requirements
- A. or B.S (Math, Computer Science, Data Science, or Finance focuses preferred) and a minimum of 3-6 years professional experience
- Demonstrated ability to work with large and complex systems and data sets, and apply analytical thinking to solve real-world business problems
- Familiarity with the investment management industry and products, such as hedge funds, mutual funds, UCITS, and customized client solutions
- Strong knowledge of financial instruments including equities, futures, forex, swaps, and fixed income
- Proficiency in data tools and languages including SQL and Python, with experience using APIs and Python packages such as Pandas, NumPy, Streamlit, Plotly, and Seaborn
- Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment
- Excellent oral and written communication skills; must be able to confidently collaborate with various departments within the firm
- A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment
- Able to digest complex concepts into clear and concise recommendations and actions
- Excited by continuous learning, improving systems and processes, and driving efficiency in compliance processes
Nice To Haves
- Familiarity with buy-side software and platforms, specifically those related to investment compliance, trading surveillance, and regulatory reporting is a significant plus.
- Experience with business analysis and data science workflows, including exposure to AI/ML tools for analytics is a plus.
Responsibilities
- Perform analysis and use data science to build pipelines that feed into compliance monitoring and reporting processes.
- Create functional requirements, specifications, and designs for analytics-driven solutions supporting compliance and regulatory operations.
- Partner with software engineers and legal/compliance professionals to develop and refine solutions; contribute hands-on via coding, conducting data analysis, and constructing applications.
- Explore and integrate new tools and third-party platforms to enhance compliance monitoring, data pipelines, and business analysis.
- Contribute new ideas and continuous improvements to the firm's legal and compliance infrastructure.
- Design and implement systems and processes in the legal and compliance control framework.
Benefits
- paid time off
- medical/dental/vision insurance
- 401(k)
- annual discretionary bonus
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
