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Compliance Analyst

1 month ago

New York, New York, United States Squarepoint Capital Full time

Squarepoint is a global investment management firm that utilizes a diversified portfolio of systematic and quantitative strategies across financial markets that seeks to achieve high quality, uncorrelated returns for our clients. We have deep expertise in trading, technology and operations and attribute our success to rigorous scientific research. As a technology and data-driven firm, we design and build our own cutting-edge systems, from high performance trading platforms to large scale data analysis and compute farms. With offices around the globe, we emphasize true, global collaboration by aligning our investment, technology, and operations teams functionally around the world. Building on our quantitative research platform and process-driven approach, Squarepoint also runs discretionary strategies to augment our systematic approach and monetize opportunities which may not be suitable to be traded in a systematic strategy.

Role: Compliance Analyst

Department: Compliance
Location(s): Houston, Montreal, New York

The Compliance Department at Squarepoint has a wide range of roles and responsibilities that seek to:

  • Maintain and protect the good reputation of the firm
  • Promote a strong culture of compliance and ethical behavior
  • Ensure compliance with the multitude of laws and regulations that the firm is subject to

Position Overview:

  • Support the Compliance department in the delivery of the wider compliance program
  • Assist with PA Dealing approvals and certifications
  • Prepare and review data used for regulatory reporting to SEC, FCA and MAS
  • Review and allocate invoices owned by the Compliance department
  • Assist with trade surveillance monitoring to detect market abuse or improper trading behavior
  • Conducting daily analysis of automated surveillance alerts through systems such as SMARTS
  • Carry out audio and electronic communications surveillance
  • Assist with e-discovery requests
  • Conduct periodic forensic testing and reviews in accordance with the Compliance Monitoring Plan

Required Qualifications:

  • Bachelor's degree in finance, business, or a related field; or professional certification (e.g., CAMS) preferred
  • 1-3 years of compliance, audit, risk or regulatory experience
  • Knowledge of various financial products and markets
  • Excellent administrative skills and the ability to prioritize tasks to meet deadlines
  • Ability to maintain a high level of confidentiality while handing protected and sensitive material
  • Strong written and verbal communication skills

    The minimum base salary for this role is $60,000 if located in New York. This expectation is based on available information at the time of posting. This role may be eligible for discretionary bonuses, which could constitute a significant portion of total compensation. This role may also be eligible for benefits, such as health, dental, and other wellness plans, as well as 401(k) contributions. Successful candidates' compensation and benefits will be determined in consideration of various factors