Compliance Associate

Compliance Associate

• Support the management of a global Quantitative Trading Compliance program, including evaluating and reviewing portfolio management teams in alignment with an Algorithmic Trading Policy.

• Monitor regulatory developments and industry compliance trends, conducting analyses to strengthen the Quantitative Trading Compliance program.

• Provide assistance with regulatory examinations, inquiries, investigations, and special projects as needed.

• Contribute to drafting and revising compliance-related policies and procedures.

• Develop and deliver compliance training sessions.

Qualifications and Skills

• A minimum of 3 years of professional experience.

• Background in a regulatory authority, financial institution, or investment firm.

• Familiarity with algorithmic/systematic trading matters and an understanding of model-based trading and trading algorithms is preferred.

• A bachelor's degree in Computer Science, Finance, Economics, or a related field, with a strong academic record, is preferred.

• Knowledge of global financial markets, including market structures, is a plus.

• Basic understanding of Artificial Intelligence and awareness of regulatory focus areas in this domain.