Legal Compliance Specialist

Our client is a private trading firm based in New York City founded in early 2014. We are a team of mathematicians, computer scientists, financial engineers, and other market professionals managing private investment capital and building a next-generation platform for quantitative trading. Through a systematic investment process, careful risk management, and a dedication to integrity, intellectual rigor, and collaboration, we seek to generate exceptional risk-adjusted investment returns. The firm is a Registered Investment Advisor regulated by the U.S. Securities and Exchange Commission as well as a Commodity Pool Operator regulated by the U.S. Commodity Futures Trading Commission.

Job Title:Compliance AnalystWe are seeking a Compliance Analyst to support our growing Legal and Compliance team. This role provides an opportunity to gain hands-on experience by assisting with all legal and compliance aspects as a Registered Investment Advisor regulated by the U.S. Securities and Exchange Commission and a Commodity Pool Operator regulated by the U.S. Commodity Futures Trading Commission. With the rapid and ongoing evolution of the legal and regulatory landscape, the work is fast-paced and the successful candidate will be continually learning while actively contributing to a wide range of compliance initiatives.The ideal candidate must be eager to roll up their sleeves and proactively engage in all facets of a project with a can-do attitude. The role requires adaptability to operate outside their comfort zone and readily embrace any challenges as opportunities for growth. A strong work ethic and high intellectual curiosity are paramount, with a readiness to tackle all tasks with the same level of diligence and dedication. We value candidates who can be trusted to represent the broader team and understand how to handle sensitive and confidential information.Key ResponsibilitiesAssist in the drafting, implementation, and enhancement of all legal and compliance policies and procedures.Provide support across a variety of compliance initiatives including Code of Ethics, regulatory filings, cybersecurity compliance, electronic communication surveillance, trade surveillance, vendor due diligence, following up on compliance attestations, and updating compliance procedures as needed, in conjunction with the Chief Compliance Officer.Develop proficiency with compliance tools and software such as Bloomberg Vault, ComplySci, FundApps, and OneTick.Collaborate and engage with internal stakeholders to address compliance issues and mitigate risks.Stay informed of ongoing regulatory developments and industry trends that are relevant to the team.