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Cumplimiento y Riesgo en Valle de Jefferson-Yorktown
Mejor coincidencia
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Cumplimiento y Riesgo
Valle de Jefferson-Yorktown
Salario
Ubicación:Valle de Jefferson-Yorktown
Categoría:Cumplimiento y Riesgo
Oficial Principal de Cumplimiento (EE. UU.)63393486279681120
Trexquant Investment
Oficial Principal de Cumplimiento (EE. UU.)
Stamford, CT, USA
Trexquant es un gestor de fondos sistemáticos basado en tecnología que utiliza estrategias cuantitativas y de aprendizaje automático para operar en acciones y futuros a nivel global. Con oficinas en Estados Unidos, China e India, nuestro equipo innovador de investigadores, tecnólogos y profesionales financieros impulsa los límites de las finanzas cuantitativas. Estamos buscando un Director de Cumplimiento (CCO) para unirse a nuestro equipo directivo, supervisando el cumplimiento bajo la orientación de nuestro actual CCO/Abogado General. Esta es una excelente oportunidad para un profesional del cumplimiento que desee desarrollarse en un entorno dinámico y estimulante intelectualmente, donde convergen la tecnología, las finanzas y la supervisión regulatoria. Responsabilidades Liderar la supervisión del cumplimiento para nuestro asesor de inversiones registrado ante la SEC para fondos privados. Mantener y mejorar los marcos de cumplimiento, políticas y sistemas de monitoreo. Desarrollar e implementar controles de monitoreo regulatorio para garantizar el cumplimiento con las leyes de la SEC. Trabajar estrechamente con investigadores cuantitativos, ingenieros y operadores para integrar el cumplimiento en nuestro marco de operaciones algorítmicas. Supervisar presentaciones y divulgaciones regulatorias (ADV, Formulario PF, 13F y otros documentos clave). Elaborar evaluaciones de riesgo e informar los hallazgos al director ejecutivo y al equipo directivo. Representar al área de cumplimiento en reuniones de diligencia con inversores y discusiones regulatorias. Brindar capacitación y orientación a los empleados sobre los requisitos regulatorios en evolución. Mantenerse al tanto de las tendencias del sector, participar en programas de divulgación de la SEC y adaptarse proactivamente a nuevos desafíos de cumplimiento en el trading sistemático. Requisitos Título universitario, con certificaciones preferidas como JD, CFA o CPA. Líder experimentado en cumplimiento con al menos 6 años de experiencia a nivel directivo en un asesor de inversiones registrado ante la SEC, en un organismo regulador o en un departamento legal interno. Profundo conocimiento de las regulaciones de la SEC, incluida la Ley de Asesores de Inversiones de 1940, requisitos de ciberseguridad y mejores prácticas para firmas de inversión. Altamente analítico, con conocimientos técnicos y adaptable, con experiencia en entornos financieros basados en software. Buen comunicador y pensador estratégico, capaz de proporcionar orientación clara en materia de cumplimiento al colaborar con equipos en la intersección de las finanzas, la regulación y la tecnología. Beneficios Salario competitivo, más bonificación basada en el desempeño individual y de la empresa. Entorno de trabajo colaborativo, informal y amigable, resolviendo los problemas más difíciles de los mercados financieros. Cobertura completa de primas de seguros médicos, dentales y de visión (PPO) para usted y sus dependientes. Beneficios pre-impuestos para transporte – facilitando su desplazamiento al trabajo. Trexquant es un empleador que ofrece igualdad de oportunidades.
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