Compliance Officer

The D. E. Shaw Group; New York (NY); On-site; USD 140,000 - 180,000; Full time

Benefits offered by this job

Medical and prescription drug coverage

401(k) contribution matching

Wellness reimbursement

Family building benefits

Charitable gift match program

Job summary

The D. E. Shaw Group is seeking a proactive compliance professional to join its Legal & Compliance team in New York.

You will support testing, regulatory projects, training, and third-party oversight, gaining exposure to trading activities and frameworks. The role offers meaningful ownership of program areas over time in a collaborative environment. We look for a bachelor’s degree with 4–8 years in compliance/audit, strong analytical skills, and excellent communication.

Qualifications

• Bachelor’s degree or higher with a proven record of academic and professional achievement.
• 4–8 years of experience in compliance, audit, or related legal/operational role.
• Strong numerical literacy and comfort with data analysis tools.
• Excellent written and verbal communication for senior audiences.
• Ability to manage large processes and coordinate across cross-functional teams.

Responsibilities

• Conduct compliance testing by interpreting regulatory requirements and documenting findings.
• Perform investment adviser–related regulatory analysis of new business initiatives.
• Monitor third-party providers for contractual and regulatory compliance.
• Prepare and present internal metrics and compliance reports for senior stakeholders.
• Develop trainings to raise awareness of regulatory obligations across the firm.

Skills

Analytical skills

Numerical/data analysis

Communication skills

Problem-solving

Process improvement

Education

Bachelor's degree

Job description

OVERVIEW

The D. E. Shaw group seeks a proactive and detail-oriented compliance professional to join its Legal & Compliance team. This role supports multiple aspects of the firm's compliance program, including compliance testing, regulatory projects, training, and oversight of third-party service providers, and involves close collaboration with colleagues across compliance, legal, operations, front office, and technology groups. The position provides significant exposure to the firm's trading activities and regulatory frameworks, with opportunities for meaningful ownership of program areas over time, in a collegial, intellectually engaging environment.

WHAT YOU'LL DO DAY-TO-DAY

• Conduct compliance testing by interpreting regulatory requirements, designing test plans, coordinating and carrying out reviews, and documenting findings and recommendations.
• Perform investment adviser-related regulatory analysis, including evaluating the impact of new business initiatives and policy changes.
• Monitor third-party service providers to ensure compliance with contractual and regulatory standards.
• Prepare and present internal metrics and compliance reports for senior stakeholders.
• Develop trainings to support compliance initiatives and promote awareness of regulatory obligations across the firm.

WHAT WE’RE LOOKING FOR

• A bachelor’s degree or higher, with an impressive record of academic and professional achievement.
• Four to eight years of experience in compliance, audit, or a related legal or operational role; experience at a financial services firm, particularly an investment adviser, is a plus but not required.
• Keen analytical skills, comfort with numbers and data, and a genuine interest in using technical tools to streamline processes.
• Excellent written and verbal communication skills, with the ability to produce clear reports and materials for senior audiences.
• Well-developed judgment and discretion, and the ability to manage large processes and coordinate workstreams across legal, compliance, operations, front office, and technology teams.
• A high level of motivation, a record of taking initiative, well-developed problem-solving skills, and the ability to think creatively and strategically.
• The expected annual base salary for this position is $140,000 to $180,000. Our compensation and benefits package includes variable compensation in the form of a year-end bonus, guaranteed in the first year of hire, and benefits including medical and prescription drug coverage, 401(k) contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.