The Role
Support the Compliance department by monitoring for market abuse, analyzing surveillance alerts, conducting communications surveillance, and performing forensic reviews.
Summary Generated by Built In
Department: Compliance
Position Overview:
- Support the Compliance department in the delivery of the wider compliance program
- Assist with trade surveillance monitoring to detect market abuse or improper trading behavior
- Conducting daily analysis of automated surveillance alerts through systems such as SMARTS
- Carry out audio and electronic communications surveillance
- Assist with e-discovery requests
- Conduct periodic forensic testing and reviews in accordance with the Compliance Monitoring Plan
Required Qualifications:
- Bachelor's degree in finance, business, or a related field; or professional certification (e.g., CAMS) preferred
- 1-3 years of compliance, audit, risk or regulatory experience
- Knowledge of various financial products and markets
- Excellent administrative skills and the ability to prioritize tasks to meet deadlines
- Ability to maintain a high level of confidentiality while handing protected and sensitive material
- Strong written and verbal communication skills
Top Skills
Smarts
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The Company
What We Do
Squarepoint Capital is a leading global investment management firm that develops quantitative investment strategies to achieve high quality returns for our clients. We are a data and technology driven firm who specialize in developing automated trading systems that execute across global financial markets.
