Investment and Trading Compliance Specialist, Greenwich, AQR Capital Management
AQR is a global investment management firm built at the intersection of financial theory and practical application. We strive to deliver superior, long-term results for our clients by seeking to filter out market noise to identify and isolate what matters most, and by developing ideas that stand up to rigorous testing. Underpinning this philosophy is an unrelenting commitment to excellence in technology — powering our insights and analysis. This unique combination has made us leaders in alternative and traditional strategies since 1998.
AQR takes a systematic, research-driven approach, applying quantitative tools to process fundamental information and manage risk. Our clients include institutional investors, such as pension funds, insurance companies, endowments, foundations and sovereign wealth funds, as well as financial advisors.
AQR Capital Management, LLC is looking for an exceptionally talented individual to join our Investment and Trading Compliance team. AQR’s Compliance team is responsible for ensuring the firm’s adherence to not only its legal, regulatory and fiduciary requirements, but also to the high ethical standards expected from all of its employees. The team oversees the development of policies and procedures, training and continuing compliance education, risk identification and guidance to business and operational units. AQR’s Compliance team reinforces the firm’s commitment to a culture of compliance in a dynamic legal and regulatory environment.
Provide real time compliance support for AQR’s Portfolio Management and Trading teams
Research, interpret and advise the teams about compliance with applicable investment and trading laws, regulations and guidance
Implement and/or refine trading and portfolio surveillance and monitoring measures to identify/address issues on a “real time” basis and assist with resolution
Monitor adherence to client guidelines, internal parameters, and statutory requirements
Develop a close working relationship with Portfolio Managers and Traders, and provide clear, sound advice to all groups across AQR
Draft/edit written policies and procedures to respond to business/regulatory changes or to launch new business lines
Respond to regulatory inquiries from US and foreign financial authorities
What You’ll Bring
Bachelor’s degree and 5+ years of related experience’
Juris Doctor degree is a plus
Strong knowledge of equity and derivative instruments, investment and trading strategies
Thorough understanding of the markets and applicable laws, rules and regulations
Knowledge of monitoring/surveillance software, Bloomberg, or a similar Order Management and Compliance Monitoring System
Willingness to learn new and complex investment methodologies and knowledge of alternative investment strategies is a plus
Who You Are
Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment.
Excellent oral and written communication skills; must be able to confidently collaborate with senior management and various departments within the firm.
Well-organized and detail oriented.
A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.
AQR mandates that U.S. employees are vaccinated against COVID-19 as a condition of employment, subject to reasonable accommodation as required by law
AQR is an Equal Opportunity Employer. EEO/VET/DISABILITY
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