Registered Funds Compliance, Associate / Vice President

Greenwich, CT

About the Firm

Founded in 1998, the firm is a global systematic investment management firm. As quantitative investors, research is the foundation of everything we do. We manage a range of alternative and long-only strategies designed to meet the needs of institutional and wealth investors around the world.

The firm’s culture reflects its academic roots and entrepreneurial spirit. Our collaborative environment fuels innovation and encourages employees to ask thoughtful questions, think creatively and bring new ideas forward. Continuous learning is an important part of the employee experience, helping our people build skills and grow throughout their careers. Employees at every level have opportunities to contribute, regardless of title or tenure.

The firm has 800 employees with headquarters in Greenwich, Connecticut and offices in London, Frankfurt, Dubai, Hong Kong, Sydney and Bengaluru.

Your Role

We are currently seeking an exceptionally talented individual with three to six years of investment or trading compliance experience to join our Compliance Department.

Responsibilities Include

Monitor adherence to registered products (e.g., ’40 Act Funds and UCITS Funds), client guidelines, offering documents, internal parameters, and statutory requirements for private funds and separately managed accounts.
Draft, edit, and analyze written policies and procedures to respond to business/regulatory changes or to launch new business lines.
Develop a close working relationship with Portfolio Managers and Traders, and provide clear, sound advice to all groups across the firm.
Research, interpret and advise the teams about compliance with applicable investment and trading laws, regulations and guidance.
Implement and/or refine monitoring measures to identify/address issues on a “real time” basis and assist with resolution.

What You’ll Bring

A Bachelor’s degree, with a minimum of 3–6 years of related experience.
Understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and UCITS regulations, especially in relation to alternative investment strategies.
Experience with a variety of asset classes (including equities and fixed income) and derivatives types (including futures and swaps), as well as alternative strategies.
Strong knowledge of guideline monitoring software, Bloomberg, or a similar Order Management and Compliance Monitoring System (e.g., Aladdin, Charles River, Sentinel).
Thorough understanding of the markets and willingness to learn new and complex investment methodologies.
CFA, CAIA or FRM is a plus.

Who You Are

Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment.
Excellent oral and written communication skills; must be able to confidently collaborate with various departments within the firm.
Well-organized and detail oriented.
A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.