Compliance Associate
Posted on 11/9/2023
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