Compliance Analyst
Posted on 3/29/2024
Engineers Gate

51-200 employees

Quantitative trading platform managing private investment capital.
Company Overview
Engineers Gate, a New York-based private trading firm, stands out for its unique blend of intellectual rigor and collaboration, employing a diverse team of experts from fields such as mathematics, computer science, and financial engineering to develop a cutting-edge platform for quantitative trading. The firm's systematic investment process and meticulous risk management, coupled with its commitment to integrity, positions it as a leader in the industry. As a Registered Investment Advisor and Commodity Pool Operator, Engineers Gate operates under the stringent regulations of both the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission, further enhancing its credibility and competitive advantage.
Financial Services
Data & Analytics

Company Stage

N/A

Total Funding

N/A

Founded

2014

Headquarters

New York, New York

Growth & Insights
Headcount

6 month growth

12%

1 year growth

36%

2 year growth

38%
Locations
New York, NY, USA
Experience Level
Entry
Junior
Mid
Senior
Expert
Desired Skills
Communications
CategoriesNew
Legal
Risk & Compliance
Legal & Compliance
Requirements
  • Undergraduate degree
  • 3-5+ years of experience as a lawyer or a compliance professional within the financial services industry
  • Strong interest and willingness to develop expertise in legal, regulatory and compliance matters in the alternative investment industry
  • Excellent communication and interpersonal skills
  • Demonstrated work ethic and time management skills
  • Highly organized with exceptional attention to detail and follow-through
  • Ability to adapt and thrive in a fast-paced, collaborative environment
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