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Capital Fund Management (CFM) · 6 months ago

Junior Compliance Officer

New York, NY, US

Full-time

Onsite

Entry Level

$120K/yr - $136K/yr

3+ years exp

Capital Fund Management (CFM) is a global quantitative and systematic asset management firm. They are seeking a Junior Compliance Officer to join their Legal & Compliance team, responsible for ensuring compliance with capital market regulations and assisting in various compliance-related initiatives.

Financial Services

Responsibilities

Keep informed on latest rules, regulations, and best practices with focus on North America and participate in updating of the firm’s regulatory policies

Supervise compliance with laws, regulations, compliance manuals and code of ethics requirements with focus on staff and operations based in North America

Work closely with the business development team on new initiatives including reviewing of marketing documentation

Assist and train staff on compliance matters

Manage periodic regulatory filings; maintaining books and records and ensuring completion of files

Operate second line controls to materialise compliance with regulatory, legal, and operational duties

Participate in audits of internal teams as well as main external providers

Report exceptions to management, issue and follow up of recommendations

Qualification

Regulatory framework knowledgeCompliance supervisionMaster's degreeAttention to detailIT systems proficiencyTeam playerCommunication skills

Required

You have a master's degree in business, law or engineering from a highly regarded establishment

You ideally have at least 3 years of experience in similar work at an asset manager

You are a team player with attention to detail and capacity to deliver

You are comfortable working independently

You have excellent written and oral presentation/communication skills

You have a good understanding of regulatory framework applying to Asset Managers (US Adviser Act, US Securities and Exchange Act, Market Abuse, etc.) as well as financial markets and financial products

You have a good capacity to use IT systems to resolve business problems

Benefits

Variable compensation

Competitive benefits package

Company

Capital Fund Management (CFM)

Capital Fund Management (CFM) is a successful alternative investment manager and a pioneer in the field of quantitative trading applied to capital markets across the globe.

Founded in 1991

Paris, Ile-de-France, FR

201-500 employees