Registered Funds Compliance, Associate / Vice President

AQR Capital Management; Greenwich (CT); On-site; USD 150,000 - 175,000; Full time

Benefits offered by this job

Bonus potential

Comprehensive benefits

401(k)

Job summary

AQR Capital Management is seeking a Compliance professional with 3–6 years of investment or trading compliance experience to join the Compliance Department in Greenwich, CT. The role focuses on monitoring adherence to funds, client guidelines, and regulatory requirements.

You will draft policies, work closely with Portfolio Managers and Traders, and advise teams on compliance with applicable laws and regulations. A Bachelor's degree and familiarity with major compliance tools are required.

Qualifications

• 3–6 years of investment or trading compliance experience.
• Understanding of the Investment Advisers Act of 1940 and related regulations.
• Wamiliarity with multiple asset classes and derivatives.

Responsibilities

• Monitor adherence to registered products and client guidelines.
• Draft, edit, and analyze policies to respond to regulatory changes.
• Collaborate with Portfolio Managers and Traders to provide compliance guidance.
• Research and advise on compliance with applicable investment and trading laws.
• Implement and refine monitoring measures to address issues in real time.

Skills

Investment compliance experience

Analytical thinking

Education

Bachelor's degree in relevant field

Tools

Bloomberg

Aladdin

Charles River

Sentinel

Job description

About AQR Capital Management

Founded in 1998, AQR 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.

AQR's culture reflects the firm's 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 AQR


• 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.

The salary range for this role is expected to be $150,000 to $175,000. This is the range that we in good faith believe is accurate for this role at the time of this posting. We may ultimately pay more or less than the posted range, depending upon factors such as skills, experience, location, or other business and organizational needs. This wage range may also be modified in the future.

This job is also eligible for an annual discretionary bonus.

We offer comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, benefits, or any other form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law.

AQR is an Equal Opportunity Employer. EEO/VET/DISABILITY