Senior Compliance Officer

Millennium • Greenwich, CT

91d

About The Position

The Senior Compliance Officer will provide ongoing compliance support to WorldQuant Millennium Advisors (WMA). This role involves conducting ongoing WMA compliance reviews and addressing compliance-related items for the launches of new WMA funds and separately managed accounts (SMAs). The officer will assist with regulatory examinations, inquiries, investigations, and projects as necessary. Additionally, the role includes monitoring global regulatory changes, updates, and industry-wide compliance initiatives, as well as assisting with drafting and amending compliance-related policies and procedures. The officer will create and implement additional WMA compliance reviews, review marketing materials for WMA funds and SMAs, and prepare and conduct compliance trainings.

Requirements

• 14+ years of experience at a regulatory authority, bank/broker, or buy-side firm
• Investment Management Compliance experience, including addressing regulatory items related to launching and ongoing compliance oversight of funds and SMAs
• 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
• Law degree is preferred
• An understanding of global financial markets, including market structure, is preferred
• 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, as well as the ability to coordinate efforts and projects across teams and departments
• Ability to create presentation materials for senior management
• Good team player with a strong willingness to participate and help others

Nice To Haves

• Experience with addressing algorithmic/systematic trading matters
• Law degree
• Understanding of global financial markets, including market structure

Responsibilities

• Provide ongoing compliance support to WorldQuant Millennium Advisors (WMA)
• Conduct ongoing WMA compliance reviews
• Address compliance-related items for the launches of new WMA funds and SMAs
• Assist with regulatory examinations, inquiries, investigations, and projects as necessary
• Monitor global regulatory changes, updates, and industry-wide compliance initiatives
• Assist with drafting and amending compliance-related policies and procedures
• Create and implement additional WMA compliance reviews
• Review marketing materials for WMA funds and SMAs
• Prepare and conduct compliance trainings

What This Job Offers

• Career Level: Senior
• Education Level: Bachelor's degree