Our clients division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries.
This team sits within the Global Compliance division, which prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. You’ll be part of a team with members from a wide range of academic and professional backgrounds, such as sales, trading, computer science, financial engineering, and law. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
Some of the responsibilities will include:
- Understanding business context and trading activity profile (e.g., business economics, products traded, market structure, software systems and algo logic)
- Evaluating risks within the trading ecosystem, specifically focus on the algo design and development
- Advising front-office engineers, trading and sales on appropriate algo risk mitigation mechanisms
Skills / Experience
- An undergraduate degree is required
- Educational background in Financial Engineering, Computer Science, Engineering or similar degree
- Knowledge of programming languages (C/C++, Java, etc.)
- At least 3+ years of relevant work experience, preferably in electronic trading, trading technology, or risk management