Senior Compliance Analyst

The Role

 

We are seeking to hire an exceptional individual to join our compliance team based from our Lithuania office. The primary responsibility will be leading global surveillance activities including surveillance solutions, vendor management, monitoring and analyzing financial transactions, trading activities, and electronic communications across our global network to ensure compliance with regulatory requirements and internal policies. This role involves safeguarding the firm against reputational and financial risks by conducting comprehensive surveillance across various markets and financial products. The ideal candidate will be highly self-motivated, organized, and attentive to detail. You should be capable of managing a diverse workload and prioritizing tasks in a fast-paced corporate environment.

What you’ll do 

 

• Responsible for surveillance vendor management, and the configuration, development and maintenance of surveillance solutions.
• Monitor, analyze, and report on compliance issues related to trade surveillance, focusing on market manipulation and insider trading.
• reviewing alerts utilizing prescribed scripts, identifying and documenting defects and providing daily updates to leads and managers as needed.
• participate in development and design of the scripts used to review the alerts.
• Conduct internal investigations and audits as needed, utilizing forensic techniques.
• Oversee end-to-end eComms surveillance to detect and prevent potential compliance breaches.
• Manage stakeholders including Global Markets Compliance, Compliance Tech, Trading and Investment, Operations, Legal to integrate compliance requirements related to trading and algorithmic trading into business processes.
• Assist in preparing responses to regulatory agencies and exchanges regarding trading activity and other raised issues.
• Conduct risk assessments related to algorithmic trading and develop risk mitigation strategies
• Review surveillance exceptions with regional teams, business personnel, and middle office.
• Prepare MI reporting and ensure accurate & timely reporting to all stakeholders.
• Identify, facilitate, and implement process improvement ideas to enhance efficiency.
• Stay updated on relevant laws, regulations, and industry best practices related to algorithmic trading.
• Draft, review, and implement compliance policies.

What you’ll bring
What you need:

 

• Bachelor's degree in Finance, Economics, Computer Science, or related field
• 7+ years of compliance, market surveillance, or forensic testing experience, preferably in a macro or quantitative asset manager
• Strong knowledge of global financial regulations and compliance requirements
• Understanding of various financial products including Equities, Equity Derivatives and Fixed Income
• Knowledge of algorithmic trading and associated compliance requirements
• Proficiency in using surveillance software tools (e.g., Eventus, NICE Actimize, Nasdaq SMARTS) and eComms surveillance platforms.
• Strong knowledge of Excel and ability to manage large datasets.
• Meticulous attention to detail, particularly regarding the preparation of written materials
• Strong interpersonal skills as well as strong verbal and written communication skills
• Ability to work well independently and collaboratively in a fast-paced environments.
• Willingness to work flexible hours to cover global markets.

 

We’d love if you had:

 

• Professional certifications such as CAMS, CFE, or ACAMS.
• Experience in a global financial institution or regulatory body.
• Knowledge of data analytics and visualization tools.

 

Who we are  
Schonfeld Strategic Advisors is a global multi-strategy, multi-manager investment platform that harnesses the transformative power of people to perform in all market environments. Our dynamic culture inspires better outcomes for our team, our investors, and our partners. We aim to consistently deliver risk-adjusted returns, with people driving performance.

We specialize in four core strategies: Quantitative Trading, Fundamental Equity, Tactical Trading, and Discretionary Macro & Fixed Income. We capitalize on inefficiencies and opportunities within the markets, drawing from a significant investment in proprietary technology, infrastructure, and risk analytics.

We invest through internal portfolio managers and external partner funds, pursuing alignment among investors, investment professionals, and the firm. Our footprint spans 7 countries and 19 offices.

Our Culture
Talent is our strategy. We believe our success is because of our people, so putting our talent above all else is our top priority. We are teamwork-oriented, collaborative, and encourage ideas—at all levels—to be shared. As an organization committed to investing in our people, we provide learning & educational offerings and opportunities to make an impact.

We foster a sense of belonging among all of our employees with Diversity, Equity and Inclusion at the forefront of this mission. Our employees value diversity across identity, thought, people and perspective which serves as the foundation of our culture. As a firm, we are committed to creating a hiring process that is fair, welcoming and supportive.

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Last updated on Aug 20, 2024