Compliance Analyst - Quantitative and Algorithmic Trading

Compliance Analyst - Quantitative & Algorithmic Trading

Role Responsibilities

• Provide oversight and support for compliance processes related to quantitative and algorithm-driven trading strategies across investment teams
• Conduct reviews of trading activities and systematic strategies, including initial onboarding and ongoing assessments, to evaluate adherence to internal governance standards
• Analyze regulatory developments and enforcement trends impacting electronic and algorithmic trading, and assist in evolving internal compliance approaches
• Participate in responses to regulatory inquiries, audits, and examinations, as well as internal reviews when required
• Support the maintenance and refinement of internal documentation, including compliance frameworks, policies, and control standards
• Assist in preparing and delivering training sessions to investment professionals on compliance requirements and emerging risks

Qualifications

• 3 years of experience in compliance, risk, or regulatory roles within financial services or a government/regulatory organization
• Familiarity with quantitative, systematic, or algorithmic trading strategies, including exposure to model-based or automated decision-making approaches
• General understanding of trading workflows, including execution algorithms and order handling processes, is advantageous
• Bachelor's degree in a relevant discipline (e.g., finance, economics, computer science, engineering, or similar) preferred
• Knowledge of financial markets and trading environments, including market structure concepts, is desirable
• Awareness of AI or machine learning concepts and related governance considerations is a plus
• Strong analytical skills with attention to detail
• Ability to manage multiple priorities and operate effectively in a fast-paced setting
• Clear written and verbal communication skills, including preparing materials for senior audiences
• Proficiency in standard business tools (e.g., Excel, presentation software)
• Team-oriented with a proactive approach to problem-solving

Compensation

• Competitive base salary aligned with market ranges for New York (approximately $100K - $150K)
• Eligibility for performance-based incentives and benefits, with final compensation determined based on experience and qualifications