VP Investment & Trading Compliance

AQR Capital Management; Greenwich (CT); On-site; USD 155,000 - 175,000; Full time

Job summary

AQR Capital Management recherche un individu talentueux pour son équipe de conformité d'investissement et de trading. Le candidat sera responsable de la recherche et de l'interprétation des réglementations, du développement de politiques, et de la collaboration avec les gestionnaires de portefeuille et les traders. Une expérience de 5 ans est requise, et une connaissance approfondie des instruments financiers est essentielle. Un excellent environnement de travail offrant un package d'avantages complet est proposé.

Benefits

Congés payés

Assurance médicale/dentaire/visuelle

401(k) offrant des avantages

Qualifications

• Expérience de 5+ ans dans un rôle similaire.
• Connaissance des lois, règles et réglementations applicables.
• Compétences en communication orale et écrite exceptionnelles.

Responsibilities

• Conseiller sur la conformité aux lois et réglementations d'investissement.
• Élaborer des politiques en réponse aux changements d'entreprise/réglementaires.
• Surveiller le respect des directives des clients et des exigences statutaires.

Skills

Connaissance approfondie des instruments de capital et dérivés

Connaissance des stratégies d'investissement alternatives

Capacité d'apprendre de nouvelles méthodologies d'investissement

Education

Diplôme de Bachelor

CFA, CAIA ou FRM un plus

Tools

Logiciel de surveillance des guidelines

Bloomberg

Job description

About AQR Capital Management

AQR is a global investment management firm built at the intersection of financial theory and practical application. We strive to deliver superior, long-term results for our clients by seeking to filter out market noise to identify and isolate what matters most, and by developing ideas that stand up to rigorous testing. Underpinning this philosophy is an unrelenting commitment to excellence in technology — powering our insights and analysis. This unique combination has made us leaders in alternative and traditional strategies 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

• Research, interpret and advise the teams about compliance with applicable investment and trading laws, regulations and guidance
• Develop a close working relationship with Portfolio Managers and Traders, and provide clear, sound advice to all groups across AQR
• Draft/edit written policies and procedures to respond to business/regulatory changes or to launch new business lines
• Coordinate with key stakeholders on ESG matters; assist in implementation of proxy voting policy
• 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)
• Implement and/or refine monitoring measures to identify/address issues on a “real time” basis and assist with resolution
• Respond to regulatory inquiries from US and foreign financial authorities
  
  

What You’ll Bring

• Bachelor’s degree and 5+ 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