Core Compliance Specialist

Position Summary

Two Sigma is a financial sciences company, combining data analysis, invention, and rigorous inquiry to help solve the toughest challenges in investment management, insurance technology, securities, private equity, and venture capital.

Our team of scientists, technologists, and academics looks beyond the traditional to develop creative solutions to some of the world's most complex economic problems.

We are seeking a motivated and diligent Specialist to join the Core Compliance Team in Two Sigma's Legal & Compliance Department. In this role, the Specialist will take part in coordinating and improving the firm's Core Compliance program, including promoting the culture of compliance throughout the organization, with a particular focus on government interactions, political contributions and activities (pay-to-play) and electronic communication compliance.

The Core Compliance team is responsible for the main aspects of the firm's employee facing compliance program across its global affiliates. Each member of the team is responsible for administration of assigned policies and procedures, some of which include:

- Code of Ethics (Personal Account Dealings)

- Political contributions & activities ("Pay-to-Play")

- Marketing to government entities

- Electronic communications

- Outside Activities

- Gifts & Entertainment

- Social Media

- New Hire and Annual Compliance Training

Candidates should be a strong problem solver with critical thinking abilities, possess strong relationship management skills, have the ability to manage and prioritize multiple tasks, and takes a collaborative approach to team engagement. If you are passionate about joining a fast-paced, dynamic team, we'd love to meet you!

You will take on the following responsibilities:

• Assisting with the development and implementation of policies and procedures, controls, trainings and technological solutions associated with the global Core Compliance program;
• Self-starter approach with a focus on streamlining and/or automating employee compliance processes/tasks;
• Managing compliance-related matters and concerns from management and addressing employee inquiries;
• Assisting with the implementation of solutions to business/area problems;
• Monitoring industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact Two Sigma;
• Liaising with business partners, the Legal & Compliance Department and outside service providers to identify and mitigate compliance risks;
• Analyzing the effect of new business initiatives and investment products on the compliance program;
• Conducting forensic tests in several key Core Compliance areas

You should possess the following qualifications:

• BA/BS degree with a strong academic record
• 3-5 years of relevant compliance experience at an SEC-registered investment adviser and/or experience at a relevant regulatory agency (e.g., SEC, CFTC, NFA, or FINRA)
• A strong understanding of the US securities laws, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933
• A solid understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA)
• Strong judgement, integrity, and professional demeanor that instills confidence in others

You will enjoy the following benefits:

• Core Benefits: Fully paid medical and dental insurance premiums for employees and dependents, competitive 401k match, employer-paid life & disability insurance
• Perks: Onsite gyms with laundry service, wellness activities, casual dress, snacks, game rooms
• Learning: Tuition reimbursement, conference and training sponsorship
• Time Off: Generous vacation and unlimited sick days, competitive paid caregiver leaves
• Hybrid Work Policy: Flexible in-office days with budget for home office setup

The base pay for this role will be between $100,000 and $150,000. This role may also be eligible for other forms of compensation and benefits, such as a discretionary bonus, health, dental and other wellness plans and 401(k) contributions. Discretionary bonus can be a significant portion of total compensation. Actual compensation for successful candidates will be carefully determined based on a number of factors, including their skills, qualifications and experience.

We are proud to be an equal opportunity workplace. We do not discriminate based upon race, religion, color, national origin, sex, sexual orientation, gender identity/expression, age, status as a protected veteran, status as an individual with a disability, or any other applicable legally protected characteristics.

Two Sigma is committed to providing reasonable accommodations to qualified individuals in accordance with applicable federal, state, and local laws.

If you believe you need an accommodation, please visit our website for additional information.