About the Role
Engineers Gate (EG) is a leading quantitative investment company focused on computer-driven trading in global financial markets. We are a team of researchers, engineers, and financial industry professionals using sophisticated statistical models to analyze data and identify predictive signals to generate superior investment returns. EG’s investment teams each focus on their independent strategies while utilizing the firm’s proprietary, state-of-the-art technology and data platform to optimize their alpha research.
We are seeking a Compliance Analyst to support our growing Legal and Compliance team. This role provides an opportunity to gain hands-on experience by assisting with all legal and compliance aspects as a Registered Investment Advisor regulated by the U.S. Securities and Exchange Commission and a Commodity Pool Operator regulated by the U.S. Commodity Futures Trading Commission. With the rapid and on-going evolution of the legal and regulatory landscape, the work is fast-paced and the successful candidate will be continually learning while actively contributing to a wide range of compliance initiatives.
The ideal candidate must be eager to roll up their sleeves and proactively engage in all facets of a project with a can-do attitude. The role requires adaptability to operate outside their comfort zone and readily embrace any challenges as opportunities for growth. A strong work ethic and high intellectual curiosity are paramount, with a readiness to tackle all tasks with the same level of diligence and dedication. We value candidates who can be trusted to represent the broader team and understand how to handle sensitive and confidential information.
Key Responsibilities
- Assist in the drafting, implementation, and enhancement of all legal and compliance policies and procedures.
- Provide support across a variety of compliance initiatives including: Code of Ethics, regulatory filings, cybersecurity compliance, electronic communication surveillance, trade surveillance, vendor due diligence, following up on compliance attestations, and update compliance procedures as needed, in conjunction with the Chief Compliance Officer.
- Develop proficiency with compliance tools and software such as Bloomberg Vault, ComplySci, FundApps, and OneTick.
- Collaborate and engage with internal stakeholders to address compliance issues and mitigate risks.
- Stay informed of ongoing regulatory developments and industry trends that are relevant to the team.
Required Skills, Qualifications and Experience
- Must have undergraduate degree; JD is nice to have but not required.
- 3-5+ years of experience as a lawyer or a compliance professional within the financial services industry is advantageous. For candidates with legal degrees, we will consider 1-2 years of experience.
- Strong interest and willingness to develop expertise in legal, regulatory and compliance matters in the alternative investment industry.
- Excellent communication and interpersonal skills with the ability to exercise discretion and sound judgment with respect to highly confidential/sensitive information.
- Demonstrated work ethic and time management skills to manage multiple projects with a strong sense of urgency.
- Highly organized with exceptional attention to detail and follow-through.
- Ability to adapt and thrive in a fast-paced, collaborative environment.
The salary for this role is anticipated to be between $100,000-$175,000. This range does not include any potential bonus amounts, other forms of compensation, or benefits offered. Actual compensation for successful candidates will be carefully determined based on a number of factors, including the candidate’s skills, qualifications, education and experience.
