Compliance Officer - Systems and Operations (USA or India)
Trexquant is a growing systematic fund manager with a core team of highly accomplished technologists. We apply a wide variety of statistical and machine learning techniques to build investment portfolios and trade our client assets in global equity and futures markets.
With locations in the US, China and India, our global team is composed primarily of research professionals with advanced science, math and technology degrees. Together, our team explores the universe of quantitative methods for opportunities to enhance and adapt our platform to profit in an exciting and dynamic environment.
We’re looking for someone to join our team and become a manager of platform compliance for a systematic investment firm (for private funds) with solid foundations, mentoring and guidance from veteran senior staff. This opportunity is ideal for a compliance professional who strives to work on diverse projects in a thoughtful and considerate culture.
Responsibilities- Operational Systems Compliance - Monitoring operational functioning and the portfolio process for compliance, including positions, order activity and other systematic parts of the process in keeping with procedural requirements, for potential errors as well as monitoring conduct.
- Product and Financial Compliance Monitoring - maintain, develop and review dashboard reporting for compliance and risk processes related to the positions and products in the portfolio.
- Technology Risk Compliance - Maintain and review firm processes for monitoring of technical (cyber)security compliance risks,, including training, prevention, process and reviews with other members of the team and consultants.
- Electronic Filings Process Development - review and support processes for electronic filings of financial reports and portfolio (e.g. XML filing such as PF, 13F etc.)
- Reports to the CCO and works closely with the Compliance Director, Corporate Counsel and technology teams.
- 4-8 years of prior experience at an adviser, trading firm, regulatory group or financial regulator.
- Systematic trading fluency; able to understand software fundamentals, structure and the process of research and portfolio management in a systematic firm.
- General understanding of the financial market and investing process
- Excellent communication skills and social awareness, with a responsive and careful approach.
- Undergraduate degree required, and other advanced degree or equivalent experience (technical, legal or business) preferred.
- Python fluency preferred
- Competitive salary, plus bonus based on individual and company performance
- Collaborative, casual, and friendly work environment while solving the hardest problems in the financial markets
- PPO Health, dental and vision insurance premiums fully covered for you and your dependents