| Location | Connecticut |
The firm is a global investment manager built at the intersection of financial theory and practical application. It strives to deliver concrete, long-term results by looking past market noise to identify and isolate the factors that matter most, and by developing ideas that stand up to rigorous testing. By putting theory into practice, the firm has become a leader in alternative strategies and an innovator in traditional portfolio management.
Employees share a common spirit of academic excellence, intellectual honesty, and an unwavering commitment to seeking the truth. The firm is determined to understand what makes financial markets tick—asking every question and challenging every assumption.
The firm recognizes and respects the power of collaboration and believes that transparency and openness to new ideas lead to innovation.
The Compliance group is responsible for designing, implementing, monitoring, and testing the firm’s control environment and ensuring the firm acts as a responsible fiduciary to its clients. It creates policies and procedures that define how the firm operates its business, analyzes and visualizes data to monitor organizational activities, and advises other functions. The group also ensures the firm complies with all relevant regulatory and industry rules and regulations.
The firm is seeking an exceptionally talented individual with five to seven years of experience in regulatory reporting, including derivatives transaction reporting, preferably with an investment manager, broker-dealer, or fund administrator, to join its Compliance Department.
Assist in the preparation and submission of all regulatory reports filed on behalf of the firm.
Coordinate the collection and synthesis of data for daily, weekly, monthly, quarterly, and annual reports to U.S. and foreign regulators and government agencies, including the SEC, CFTC, NFA, U.S. Treasury, Bureau of Economic Analysis, the UK’s FCA, Germany’s BaFin, Italy’s CONSOB, and others.
Develop and document internal processes and procedures related to the firm’s current and future filing obligations.
Keep abreast of global regulatory developments, particularly in the U.S., Asia, and Europe. Inform other departments and groups of applicable requirements by researching regulatory and filing rules, writing and communicating guidelines, and contributing to strategic process and control modifications within the firm.
Develop and enhance processes to collect and synthesize data to review and reconcile transaction reporting data related to EMIR, SFTR, and Australia’s OTC Derivatives Reporting Regime.
An undergraduate degree with a focus in Accounting, Finance, or Computer Science.
Preferred experience with major shareholder/disclosure of interest filings, Section 13, the EU Short Sale Rule, Treasury International Capital (TIC) reports, and/or EMIR, SFTR, and Australia’s OTC Derivatives Reporting Regime.
Demonstrated ability to improve processes and create efficiencies.
High proficiency in Excel and Bloomberg.
Knowledge of complex financial derivatives.
Experience with SQL or Python is a plus.
Intelligent, energetic, and goal-oriented, with the ability to juggle multiple tasks, meet deadlines with limited supervision, and exercise sound judgment.
A self-starter who follows through and completes tasks in a highly intellectual, collaborative environment.
Well-organized and detail-oriented.
Able to focus on details and how they interact while keeping the bigger picture in mind.
An excellent oral and written communicator who can confidently collaborate with senior management and various departments within the firm.