Remote Compliance Officer

Summary

Join our team as a manager of platform compliance for a systematic investment firm with solid foundations, mentoring and guidance from veteran senior staff.

Requirements

• 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
• General understanding of the financial market and investing process
• Excellent communication skills and social awareness, with a responsive and careful approach
• Undergraduate degree required

Responsibilities

• Operational Systems Compliance - Monitoring operational functioning and the portfolio process for compliance, including positions, order activity and other systematic parts of the process in keeping with procedural requirements, for potential errors as well as monitoring conduct
• Product and Financial Compliance Monitoring - maintain, develop and review dashboard reporting for compliance and risk processes related to the positions and products in the portfolio
• Technology Risk Compliance - Maintain and review firm processes for monitoring of technical (cyber)security compliance risks,, including training, prevention, process and reviews with other members of the team and consultants
• Electronic Filings Process Development - review and support processes for electronic filings of financial reports and portfolio (e.g. XML filing such as PF, 13F etc.)

Preferred Qualifications

• And other advanced degree or equivalent experience (technical, legal or business) preferred
• Python fluency preferred

Benefits

• Competitive salary
• Plus bonus based on individual and company performance
• Collaborative, casual, and friendly work environment while solving the hardest problems in the financial markets
• PPO Health
• Dental and vision insurance premiums fully covered for you and your dependents