Compliance Associate
Posted on 11/9/2023
Schonfeld

501-1,000 employees

Proprietary trading firm
Company Overview
Schonfeld's mission statement is to help clients work toward financial independence through planning.
Venture Capital

Company Stage

N/A

Total Funding

N/A

Founded

1988

Headquarters

New York, New York

Growth & Insights
Headcount

6 month growth

8%

1 year growth

23%

2 year growth

69%
Locations
New York, NY, USA
Experience Level
Entry
Junior
Mid
Senior
Expert
Desired Skills
Communications
CategoriesNew
Legal & Compliance
Requirements
  • Bachelor’s Degree
  • 2+ years of compliance experience, preferably in a macro or quantitative asset manager
  • Strong knowledge of Excel
  • Meticulous attention to detail, particularly regarding the preparation of written materials
  • Strong interpersonal skills as well as strong verbal and written communication skills
  • Interest in compliance and regulatory process
  • Ability to work well and collaborate with others
  • Ability to work well independently and identify opportunities to create and improve
Responsibilities
  • Monitor, analyze, and report on compliance issues related to trade surveillance such as market manipulation and insider trading including conducting internal investigations and audits as needed
  • Develop and implement compliance programs, policies, and procedures primarily in the macro and quantitative strategies
  • Collaborate with other departments to ensure that compliance requirements related to trading and algorithmic trading are integrated into business processes
  • Assist in preparing responses to regulatory agencies and exchanges relating to trading activity and other issues that may be raised
  • Assist with compliance training and onboarding for investment staff
  • Conduct risk assessments related to algorithmic trading and develop risk mitigation strategies
  • Stay up to date to ensure compliance with relevant laws and regulations related to algorithmic trading and industry best practices
  • Policy drafting, reviews, and implementation
Desired Qualifications
  • Experience in compliance within the financial services industry
  • Knowledge of regulatory requirements for algorithmic trading
  • Certifications in compliance or related fields