Compliance Director (USA)

Company: Trexquant Investment
Location: Stamford
Posted on: November 6, 2024

Job Description:

Trexquant is a growing systematic fund manager with a core team of highly accomplished technologists. We apply a wide variety of statistical and machine learning techniques to build investment portfolios and trade our client assets in global equity and futures markets.With locations in the US, China and India, our global team is composed primarily of research professionals with advanced science, math and technology degrees. Together, our team explores the universe of quantitative methods for opportunities to enhance and adapt our platform to profit in an exciting and dynamic environment.We're looking for someone to join our team and become the manager of regulatory compliance for a systematic investment firm (for private funds) with solid foundations, mentoring and guidance from veteran senior staff. This opportunity is ideal for a compliance professional who strives to work on diverse projects in a thoughtful and considerate culture.Responsibilities

• Training and policy adaptation - Manage and conduct new and existing staff compliance training and disclosure.
• Use and update compliance systems (such as Complysci) for new users, certifications, trading monitoring and other tasks.
• Conduct Routine Monitoring - Use archiving and monitoring system / maintenance and monitoring on a routine basis.
• Monitoring operational functioning and Trading Conduct
• Routinely review monitoring reports for order activity and portfolio management in keeping with procedural requirements, for potential errors as well as monitoring conduct.
• Support Regulatory filing and reporting processes includes various regulatory filings such as the 13F, PF and ADV.
• Reports to the CCO/GC and will work closely with other management, consultants and staff.Requirements
  • Excellent communication skills and social awareness, with a responsive and careful approach.
  • 4-8 years of prior experience at an adviser, trading firm, regulatory group or financial regulator.
  • Systematic trading fluency; able to understand software fundamentals, structure and the process of research and portfolio management in a systematic firm.
  • Undergraduate degree, and JD or other advanced degree preferred.
  • Competitive salary plus bonus based on individual and company performance.
  • Collaborative, Casual, and friendly work environment.
  • PPO Health, dental and vision insurance premiums fully covered for you and your dependents.
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Keywords: Trexquant Investment, Bloomfield , Compliance Director (USA), Executive , Stamford, New Jersey