What are the responsibilities and job description for the Compliance Officer position at Landing Point?
Compliance Officer or Compliance Officer & Counsel (Stamford, CT): Our client, a quantitative research and technology investment management firm is seeking a Compliance professional to join their growing team. This person will work closely with the Head of Trading Compliance, helping to build and run the compliance program. This is a unique opportunity to quickly add value across a diverse set of responsibilities.
Key points:
- Opportunity to join a firm that has consistently outperformed markets
- Position is part of a two-person compliance team, allowing this hire to gain exposure to all areas of the business
- This hire will be afforded the opportunity to grow and advance, while being part of the key decision-making process
- If the person has their law degree, they will get to put it good use
- This person will be able to leave their mark on the business
- WFH policy: 5 days a week in the office
Responsibilities:
- Play a key role in helping build the compliance program for a world class quant fund
- Conduct targeted research of rules and regulations
- Assist in implementing and maintaining a regulatory horizon scanning process to ensure the Firm is current with regulatory change
- Provide clear and concise summaries of rules and regulatory developments that are actionable for the compliance team and other senior stakeholders
- Assist with the Firm’s regulatory reporting obligations
- Document processes and build out compliance wiki pages containing summaries of rules and internal guidance
- Assist with implementing policies and procedures
- Review and investigate post trade alerting
Qualifications:
- 4 years of compliance experience within the financial services industry
- General knowledge of financial markets and regulations; familiarity with quant/systematic trading is a strong plus
- Highly organized, detail-oriented, and process-driven
- Skilled at managing multiple projects under tight timelines, with follow-through to completion
- Collaborative team mindset with a strong sense of ownership and the ability to work independently
- Exceptional communication and interpersonal skills
- Strong regulatory research capabilities; familiarity with exchange rulebooks and market regulations
- Comfort with technical concepts and data analysis; experience with Excel, with SQL as a plus
- Law degree is a plus
- Strong commitment to ethical standards
Salary : $175,000 - $350,000
