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VP - Investment & Trading Compliance

AQR Capital Management

Greenwich (CT)

On-site

USD 155,000 - 175,000

Full time

30+ days ago

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Job summary

An established industry player is seeking a talented individual to join their Investment and Trading Compliance team. This role involves monitoring compliance with client guidelines and regulatory requirements while collaborating with Portfolio Managers and Traders. The ideal candidate will possess a strong background in investment laws and compliance, along with excellent communication skills. The firm prides itself on a culture of transparency and collaboration, making it an exciting environment for those passionate about financial markets. If you're ready to make a significant impact in a dynamic setting, this opportunity is for you.

Benefits

Paid Time Off
Medical/Dental/Vision Insurance
401(k) Plan
Annual Discretionary Bonus

Qualifications

  • 7+ years of experience in compliance or related fields.
  • Strong knowledge of equity, derivatives, and alternative investment strategies.

Responsibilities

  • Monitor compliance with client guidelines and regulatory requirements.
  • Draft and edit policies to address regulatory changes.

Skills

Compliance Monitoring
Investment and Trading Laws
Communication Skills
Analytical Skills
Problem Solving

Education

Bachelor's Degree
CFA, CAIA, or FRM

Tools

Bloomberg
Guideline Monitoring Software

Job description

About AQR Capital Management

AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking past market noise to identify and isolate the factors that matter most, and by developing ideas that stand up to rigorous testing. By putting theory into practice, we have become a leader in alternative strategies and an innovator in traditional portfolio management since 1998.

At AQR, our employees share a common spirit of academic excellence, intellectual honesty and an unwavering commitment to seeking the truth. We’re determined to know what makes financial markets tick – and we’ll ask every question and challenge every assumption. We recognize and respect the power of collaboration and believe transparency and openness to new ideas leads to innovation.

The Team

AQR Capital Management, LLC is looking for an exceptionally talented individual to join our Investment and Trading Compliance team. AQR’s Compliance team is responsible for ensuring the firm’s adherence to not only its legal, regulatory and fiduciary requirements, but also to the high ethical standards expected from all of its employees. The team oversees the development of policies and procedures, training and continuing compliance education, risk identification and guidance to business and operational units. AQR’s Compliance team reinforces the firm’s commitment to a culture of compliance in a dynamic legal and regulatory environment.

Your Role

  • Monitor adherence to client guidelines, offering documents, internal parameters, and statutory requirements for private funds, separately managed accounts and registered products (e.g., 40 Act Funds, UCITS Funds)
  • 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
  • Coordinate with key stakeholders on ESG matters; assist in implementation of proxy voting policy
  • Implement and/or refine monitoring measures to identify/address issues on a “real time” basis and assist with resolution
  • Draft/edit written policies and procedures to respond to business/regulatory changes or to launch new business lines
  • Respond to regulatory inquiries from US and foreign financial authorities

What You’ll Bring

  • Bachelor’s degree and 7+ years of related experience
  • CFA, CAIA, or FRM a plus
  • Strong knowledge of equity and derivative instruments; knowledge of alternative investment strategies required
  • Thorough understanding of the markets and applicable laws, rules and regulations
  • Advanced knowledge of guideline monitoring/surveillance software and Bloomberg
  • Willingness to learn new and complex investment methodologies

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 senior management and 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 $155,000 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

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