About this role
You will take on the following responsibilities
- Coordinate the core compliance program, including registrations, personal trading, outside activities, training, employee onboarding, etc;
- Lead compliance-related matters and concerns from management and addressing employee inquiries;
- Conduct surveillance reviews, research exceptions and advance concerns;
- Proactively propose updates to surveillance program and the general compliance program to the global team;
- Motivated approach dedicated to improving and/or automating employee compliance processes/tasks;
- Assisting with the implementation of solutions to business/area problems;
- Monitoring industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our business and compliance program;
- Collaborating closely with business partners, the Legal & Compliance Department and outside service providers to identify and mitigate compliance risks;
- Analyzing the effect of new business initiatives on the regulatory framework;
- Conducting forensic tests in several key areas;
- Self-starter approach with a focus on streamlining and/or digitizing employee compliance processes/tasks;
- Be upbeat and passionate about digging into the details; demonstrate a thirst for knowledge and learning.
You must possess the following qualifications
- Bachelor’s degree in a related field with a strong academic record
- 1 - 3 years relevant compliance experience, with a systematic trading firm or securities regulator;
- Experience applying Claude code or other AI tools to improve processes or assist with daily tasks;
- Entrepreneurial/pragmatic attitude toward solving problems;
- Work well in a team environment;
- Willing to get involved in all aspects of the compliance program when needed to assist other team members as needed;
- Ability to pay close attention to detail and think critically;
- Ability to conduct independent research on complex topics;
- Outstanding business minded writing skills;
- Ability to read and interpret technical specification documents.