Bachelor's degree in a related field with a strong academic record
1-3 years of relevant compliance experience, preferably in a trading firm or securities regulator
Experience with Claude code or AI tools for process improvement
Entrepreneurial mindset for pragmatic problem-solving
Strong teamwork skills and willingness to assist colleagues
Detail-oriented with critical thinking abilities
Excellent business writing skills and ability to interpret technical documents
Responsibilities
Coordinate the compliance program, including registrations and employee onboarding
Address compliance-related inquiries from management and employees
Conduct surveillance reviews and research exceptions
Propose updates to the compliance and surveillance programs
Drive improvements and automation in compliance processes
Implement solutions for business compliance challenges
Monitor regulatory developments and analyze their impact on compliance
Benefits
Fully paid medical and dental insurance for employees and dependents
Competitive 401k match and employer-paid life & disability insurance
Onsite gyms, wellness activities, and casual dress
Tuition reimbursement and sponsorship for conferences and training
Generous vacation, unlimited sick days, and competitive caregiver leave
Flexible hybrid work policy with home office setup budget
Full Job Description
Position Summary
The Two Sigma Securities (TSS) Compliance Analyst will provide compliance support to the broker dealer across all its businesses. Candidates selected for this role will provide daily support and conduct data analysis. They will develop and review surveillance reports. They will identify issues and offer pragmatic solutions to monitor and prevent them. This role is part of a small, close-knit team with no rigid lanes - everyone pitches in wherever it's needed, and things move at a quick pace. If you are passionate about joining a fast-paced, diverse team, we'd love to meet you!
You will take on the following responsibilities
Coordinate the core compliance program, including registrations, personal trading, outside activities, training, employee onboarding, etc;
Lead compliance-related matters and concerns from management and addressing employee inquiries;
Conduct surveillance reviews, research exceptions and advance concerns;
Proactively propose updates to surveillance program and the general compliance program to the global team;
Motivated approach dedicated to improving and/or automating employee compliance processes/tasks;
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 our business and compliance program;
Collaborating closely with business partners, the Legal & Compliance Department and outside service providers to identify and mitigate compliance risks;
Analyzing the effect of new business initiatives on the regulatory framework;
Conducting forensic tests in several key areas;
Self-starter approach with a focus on streamlining and/or digitizing employee compliance processes/tasks;
Be upbeat and passionate about digging into the details; demonstrate a thirst for knowledge and learning.
You must possess the following qualifications
Bachelor's degree in a related field with a strong academic record
1 - 3 years relevant compliance experience, with a systematic trading firm or securities regulator;
Experience applying Claude code or other AI tools to improve processes or assist with daily tasks;
Willing to get involved in all aspects of the compliance program when needed to assist other team members as needed;
Ability to pay close attention to detail and think critically;
Ability to conduct independent research on complex topics;
Outstanding business minded writing skills;
Ability to read and interpret technical specification documents.
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 $175,000. 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.
About Two Sigma Investments, LLC
Two Sigma Investments is a quantitative investment management firm that uses data science and technology to identify investment opportunities. The company's solutions are designed to help investors make better decisions and generate higher returns. Two Sigma Investments offers a range of products, including hedge funds, private equity, and venture capital. The company was founded in 2001 and is headquartered in New York City.
