Compliance Specialist

Qube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped our collaborative mindset, which enables us to solve the most complex challenges. QRT’s culture of innovation continuously drives our ambition to deliver high quality returns for our investors.

We are looking for a candidate that can act as the primary contact for any US Compliance regulatory matters, this position, which reports into the Director of Central and Operational Compliance, plays a crucial part in providing guidance and ensuring adherence to applicable regulatory requirements, leading the US/UK periodic regulatory filing framework and the running of daily central and operational compliance activities.

Your future role within QRT:

• Undertake all Central and Operations Compliance related activities
• Manage US regulatory framework
• Support External investment programme and Operational Due Dilligence processes, including AML compliance
• Ensure relevant Compliance legal and regulatory obligations have been adhered to
• Operate Core Compliance programme on daily basis (PAD, OBI, Conflicts, Gifts and Entertaintment)
• Providing advice, guidance and support to QRT Employees in relation to any central and ops compliance related queries
• Organise and present Compliance Induction training
• Advising Senior Management, Employees and the Compliance team with identifying and responding to Compliance arrangements, policies and procedures in a timely manner.
• Manage weekly New Joiner and Leaver processes, including but not limited to monitoring completion of employee certifications for new joiners and existing staff annually.
• Manage periodic and ad hoc US regulatory reporting/filings with the SEC, CFTC/NFA and other international regulatory bodies, in partnerships with Finance, Operations and Investor Relations teams
• Monitor regulatory developments, Implement and enhance internal Central and Operational compliance policies and procedures as required
• Administration of the NFA Associated Person training and NFA Principal registration processes
• Co-ordination and production of the monthly management information, including but not limited to providing data to the various committees in the governance structure and Board committees
• Delivery of mandated initiatives by partnering with internal and external stakeholders.
• Assist with SMF applications to the FCA and updating the FCA Directory with changes to the Certified Persons population

Your present skillset:

• Bachelor’s degree or equivalent Compliance qualification
• MS Office and databases
• Prior Central and/or Ops Compliance experience is essential
• Hold strong regulatory knowledge relating to CFTC/NFA, SEC and FCA rules
• Previous experience in a Compliance role at a buy-side firm is desirable
• Excellent verbal, interpersonal, and written communication skills are essential
• Strong administrative skills
• Confident and adaptable, and possess an eye for detail
• Some team leadership experience is desirable but not essential
• Demonstrate ability to collaborate and partner effectively with global teams
• Promote and foster good conduct, culture, and employee engagement
• Experience of liaising with external clients/counterparties would be beneficial

QRT is an equal opportunity employer. We welcome diversity as essential to our success. QRT empowers employees to work openly and respectfully to achieve collective success. In addition to professional achievement, we are offering initiatives and programs to enable employees achieve a healthy work-life balance.