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:
- Provide expert advisory services to the discretionary traders and fundamental analysts, ensure compliance across various markets including equity capital markets, volatility and beyond
- Review and analyze investment strategies ensure compliance with regulatory requirements and internal policies
- Vet and monitor corporate access meetings, expert network calls, and wall crossings to identify and assure proper handling of potential material non-public information
- Conduct detailed internal investigations into compliance-related matters, identifying and mitigating risks
- Monitor and report on compliance risks and issues, and develop and implement corrective action plans as needed
- Stay up-to-date on regulatory changes and industry trends, and communicate relevant information to the investment team
Required Qualifications:
- Bachelor’s Degree required
- 5-8+ years of Compliance experience within a Buyside firm or Broker-Dealer
- Experience handling all related matters to discretionary traders
- Strong organizational and research skills
- 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 $100,000 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.
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What We Do
Squarepoint Capital is a leading global investment management firm that develops quantitative investment strategies to achieve high quality returns for our clients. We are a data and technology driven firm who specialize in developing automated trading systems that execute across global financial markets.
