Compliance Analyst - Expert Networks

Squarepoint Capital; New York (NY); On-site; USD 100,000 - 130,000; Full time

Job summary

A leading financial firm in New York is seeking a Compliance expert to lead the expert networks team. The role involves managing requests, analyzing information, and ensuring compliance with regulations. Ideal candidates will have extensive experience in compliance within the finance sector and possess strong organizational and communication skills.

Benefits

Health Insurance

Dental Insurance

401(k) Contributions

Qualifications

• 5-8+ years of Compliance experience within a Buyside firm or Broker-Dealer.
• Experience handling all related matters to expert network compliance.

Responsibilities

• Lead the expert networks team, overseeing request management and information analysis.
• Review and approve expert network requests from investment team members.
• Update Compliance policies and procedures regarding expert network policies.

Skills

Organizational Skills

Research Skills

Communication Skills

Job description

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 :

• Lead the expert networks team, overseeing request management and information analysis.
• Reviewing and approving expert network requests from investment team members
• Analyzing material non-public information and carrying out vetting procedures
• Working closely with expert network vendors
• Updating Compliance policies and procedures in regard to expert network policies
• Handling compliance inquiries and providing oversight and guidance to the investment and non-investment staff
• Assisting the team on the Compliance Annual review process
• Support the Compliance department in the delivery of the wider compliance program
• Participate in ad-hoc requests as needed

Required Qualifications :

• 5-8+ years of Compliance experience within a Buyside firm or Broker-Dealer
• Experience handling all related matters to expert network compliance
• 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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