Compliance Analyst

4 weeks ago

Bengaluru, Karnataka, India Squarepoint Capital Full time

Position Overview:

The Compliance Department at Squarepoint has a wide range of roles and responsibilities that seek to

Maintain and protect the good reputation of the firm Promote a strong culture of compliance and ethical behavior Ensure compliance with the multitude of laws and regulations that the firm is subject to

Squarepoint Capital is seeking a talented and experienced Personal Account Dealing ("PAD") Specialist to join our hedge fund's compliance team. The ideal candidate will have expertise in compliance, with a focus on Personal Account Dealing activities. The PAD Specialist will be responsible for ensuring that Squarepoint's trading activities comply with regulatory requirements and internal policies, with a particular emphasis on employee conflict management and risk assessment.

Review and investigation of PAD and other employee conflicts exceptions (e.g. outside business activities, gifts and entertainment, etc) Develop and maintain PAD policies, procedures, and controls in alignment with regulatory requirements and industry best practices. PAD account connection set up and maintenance. Monitor changes in regulatory requirements and industry standards related to employee conflicts and update internal policies and procedures accordingly. Collaborate with internal stakeholders, including investments, technology, and corporate teams, to address PAD and other employee conflicts and implement effective solutions. Assist in review and implementation of various compliance training materials. Assist in the development and implementation of technology solutions and systems enhancements to streamline PAD processes and improve efficiency. Stay informed about developments in the finance industry, including market trends, geopolitical risks, and emerging compliance issues, and provide insights and recommendations to senior management.

Required Qualifications:

Bachelor's degree in finance, business, or a related field; or professional certification Experience in finance, compliance or regulatory roles, with a focus on PAD and employee conflict management. Strong communication and interpersonal skills, with the ability to collaborate effectively with cross-functional teams and communicate complex concepts to non-technical stakeholders. Excellent analytical skills and attention to detail, with the ability to review complex documentation and identify potential compliance issues. Proven ability to work independently, prioritize tasks, and manage multiple projects simultaneously in a fast-paced environment. High ethical standards and integrity, with a commitment to upholding the highest levels of compliance and regulatory standards. Flexibility to adapt to changing regulatory requirements and business priorities, with a proactive and solution-oriented mindset.

This is an exciting opportunity for a dedicated and experienced compliance professional to play a key role in ensuring the integrity and compliance of our trading activities at Squarepoint. If you are passionate about compliance and PAD, and thrive in a dynamic and collaborative environment, we encourage you to apply.

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