Job Description

Bangalore

Role: Compliance Analyst - Advisory and Surveillance Support

Squarepoint is a global investment management firm that utilizes a diversified portfolio of systematic and quantitative strategies across financial markets that seeks to achieve high quality, uncorrelated returns for our clients. We have deep expertise in trading, technology and operations and attribute our success to rigorous scientific research. As a technology and data-driven firm, we design and build our own cutting-edge systems, from high performance trading platforms to large scale data analysis and compute farms. With offices around the globe, we emphasize true, global collaboration by aligning our investment, technology and operations teams functionally around the world.

The Compliance Department at Squarepoint is a global team and has a wide range 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

Role overview:

As part of the global compliance team, this new role will look to support and advise on the regulatory and compliance frameworks which surround Squarepoint's many different investment strategies and the technology support functions, focusing initially on Surveillance, Monitoring, Testing and Due Diligence.

Primary responsibilities:

Regulatory and Markets Compliance Support

• Assist in researching regulatory topics and application to trading
• Support advisory compliance function in implementation of policies
• Support and organize regulatory filings and submissions

Surveillance, Monitoring and Testing

• Conduct trade surveillance to detect market abuse or improper trading behaviour
• Carry out audio and electronic communications surveillance
• Conduct periodic forensic testing and reviews

Onboarding and Due Diligence

• Vendors including alternative data and technology vendors
• Brokers and counterparties
• Employees

Requirements:

Skills and experience

• Concise drafting skills required
• 1-3 years of compliance experience, ideally in an Equities, Fixed Income or Futures support role
• Strong Excel or basic coding
• Some exchange/venue experience preferred

Attributes

• Self-starter
• Strong communicator
• Highly organized
• Analytical with eye for detail
• Process driven
• Able to work with, structure, organize and manipulate data
• Ability to adapt to changing systems
• Flexible, with a positive can-do approach
• Problem solver

Ideal systems experience:

• MS office; strong proficiency in Excel, PowerPoint, and Word
• Confluence
• JIRA
• Bloomberg
• Nasdaq SMARTS Surveillance

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