Compliance Analyst - Quantitative and Algorithmic Trading
Compliance Analyst - Quantitative & Algorithmic Trading
Role Responsibilities
- Provide oversight and support for compliance processes related to quantitative and algorithm-driven trading strategies across investment teams
- Conduct reviews of trading activities and systematic strategies, including initial onboarding and ongoing assessments, to evaluate adherence to internal governance standards
- Analyze regulatory developments and enforcement trends impacting electronic and algorithmic trading, and assist in evolving internal compliance approaches
- Participate in responses to regulatory inquiries, audits, and examinations, as well as internal reviews when required
- Support the maintenance and refinement of internal documentation, including compliance frameworks, policies, and control standards
- Assist in preparing and delivering training sessions to investment professionals on compliance requirements and emerging risks
Qualifications
- 3+ years of experience in compliance, risk, or regulatory roles within financial services or a government/regulatory organization
- Familiarity with quantitative, systematic, or algorithmic trading strategies, including exposure to model-based or automated decision-making approaches
- General understanding of trading workflows, including execution algorithms and order handling processes, is advantageous
- Bachelor's degree in a relevant discipline (e.g., finance, economics, computer science, engineering, or similar) preferred
- Knowledge of financial markets and trading environments, including market structure concepts, is desirable
- Awareness of AI or machine learning concepts and related governance considerations is a plus
- Strong analytical skills with attention to detail
- Ability to manage multiple priorities and operate effectively in a fast-paced setting
- Clear written and verbal communication skills, including preparing materials for senior audiences
- Proficiency in standard business tools (e.g., Excel, presentation software)
- Team-oriented with a proactive approach to problem-solving
Compensation
- Competitive base salary aligned with market ranges for New York (approximately $100K - $150K)
- Eligibility for performance-based incentives and benefits, with final compensation determined based on experience and qualifications
FAQs
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