What is Two Sigma and why apply for a job with us?
Two Sigma is a career destination for the intellectually curious who want to learn, invent, and create. The people of Two Sigma – a dynamic and diverse group of scientists, engineers, and business professionals – are accomplished analytical thinkers and passionate problem solvers.
We are a technology company that applies a rigorous, scientific method-based approach to investment management. Since our founding in 2001, Two Sigma’s vision has been to develop technological innovations that intelligently analyze the world’s data to consistently deliver value for our clients.
Compliance at Two Sigma
Our dedicated team of skilled compliance professionals seeks to identify and mitigate potential conflicts and risks associated with conducting business around the world. We favor a pragmatic approach to solving interesting problems that result in the deployment of meaningful controls consistent with legal and regulatory requirements. Our compliance professionals develop strong relationships across the organization and partner with our colleagues to help foster a culture of professional, ethical, and responsible behavior.
Our goal is to provide world-class service that protects the interests of Two Sigma and supports its continued growth.
Compliance Officer Position
We are seeking a Compliance Officer to contribute to the development, implementation, and maintenance of compliance policies, procedures, and processes related to Two Sigma’s trading. In addition to a variety of special projects, the Compliance Associate will assist in:
- Providing oversight of Two Sigma’s compliance program to ensure that the company’s futures, FX, and derivatives trading activities comply with applicable rules and statutory requirements of the Dodd-Frank Act and self-regulatory organizations, including opining on the adequacy and effectiveness of the compliance program;
- Performing compliance testing, specific to Two Sigma’s trading activities, to ensure the adequacy of our compliance program, which may include testing adherence to the company’s policies regarding brokerage, best execution, allocation, insider trading, and related matters;
- Preparing and reviewing various regulatory filings including, but not limited to, the CPO PQR;
- Monitoring and carrying out the implementation of procedures to address new regulatory rules and requirements related to Two Sigma’s research and trading;
- Coordinating and responding to regulatory and/or compliance examinations conducted by internal or external parties.
- Monitoring regulatory changes associated with CFTC and NFA, ensuring communication of new requirements and assisting the business and infrastructure areas in revising policy and process to meet new regulatory requirements, as appropriate.
- A bachelor’s degree with a strong academic record.
- A minimum of 4-5 years of compliance experience, preferably at an asset manager.
- Strong understanding of the investment industry, as well as U.S. securities laws, including the Investment Advisers Act of 1940 and Investment Company Act of 1940.
- Ability to comprehend and apply other applicable laws and regulations, including those governing Two Sigma’s ERISA clients and operations in non-U.S. jurisdictions.
- Extensive regulatory and compliance experience in the U.S. derivatives and securities markets.
- In-depth knowledge of the U.S. regulatory system in general and specifically sound knowledge of laws, rules, and regulations relating to derivatives and securities.
- A proven ability to effectively and clearly identify issues and communicate findings to other members of the team.
- A proactive, self-starter work style and ability to multi-task, working both independently and as a team player in a fast-paced environment.
- Outstanding organization skills, including prioritizing and follow up.