The successful candidate will conduct ongoing WMA compliance reviews, address compliance-related items for the launches of new WMA funds and separately managed accounts (“SMAs”), assist with regulatory examinations, inquiries, investigations and projects, as necessary.

Key responsibilities include monitoring global regulatory changes, updates and industry-wide compliance initiatives, assisting with drafting and amending compliance-related policies and procedures, creating and implementing additional WMA compliance reviews, reviewing marketing materials for WMA funds and SMAs, and preparing and conducting compliance trainings.

This role requires a strong analytical / conceptual problem-solving skills with attention to detail, a strong sense of ownership and personal responsibility, ability to prioritise, multi-task, and manage deadlines while successfully completing assignments, strong written and verbal communication skills, as well as the ability to coordinate efforts and projects across teams and departments.

The ideal candidate will have 14+ years of experience at a regulatory authority, bank/broker or buy-side firm, investment management compliance experience, inclusive of addressing regulatory items related to launching and ongoing compliance oversight of funds and SMAs, experience with addressing algorithmic/systematic trading matters is preferred, with an understanding of model-based trading and investment/execution algorithms.

A Bachelor’s degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred, law degree is preferred, an understanding of global financial markets, including market structure, is preferred.

Good team player with a strong willingness to participate and help others.

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Responsibilities: Assist with the initial vetting and ongoing review of portfolio management teams against our Algorithmic Trading Policy Monitor regulatory changes, updates and industry-wide compliance initiatives Conduct ongoing analyses to enhance our global Quantitative Trading Compliance program Assist with regulatory examinations, inquiries, investigations and projects Assist with drafting and amending compliance related policies and procedures Prepare and conduct compliance trainings

Qualifications: 3+ years of experience Experience at a regulatory authority, bank/broker or buy-side firm Experience with addressing algorithmic/systematic trading matters is preferred Bachelor’s degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred An understanding of global financial markets, including market structure, is preferred General understanding of Artificial Intelligence, including current regulatory focus areas Strong analytical / conceptual problem-solving skills with attention to detail Strong sense of ownership and personal responsibility Ability to prioritize, multi-task, and manage deadlines while successfully completing assignments Strong written and verbal communication skills Ability to create presentation materials for senior management Proficient in Microsoft PowerPoint and Excel Good team player with a strong willingness to participate and help others

The estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future.

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