Your Role:We are currently seeking an exceptionally talented individual with three to six years of investment or trading compliance experience to join our Compliance Department.
Responsibilities Include:- Monitor adherence to registered products (e.g., '40 Act Funds and UCITS Funds), client guidelines, offering documents, internal parameters, and statutory requirements for private funds, and separately managed accounts
- Draft, edit, and analyze written policies and procedures to respond to business/regulatory changes or to launch new business lines
- Develop a close working relationship with Portfolio Managers and Traders, and provide clear, sound advice to all groups across AQR
- Research, interpret and advise the teams about compliance with applicable investment and trading laws, regulations and guidance
- Implement and/or refine monitoring measures to identify/address issues on a "real time" basis and assist with resolution
What You'll Bring: - A Bachelor's degree, with a minimum of 3-6 years of related experience
- Understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and UCITS regulations, especially in relation to alternative investment strategies
- Experience with a variety of asset classes (including equities and fixed income) and derivatives types (including futures and swaps), as well as alternative strategies
- Strong knowledge of guideline monitoring software, Bloomberg, or a similar Order Management and Compliance Monitoring System (e.g. Aladdin, Charles River, Sentinel)
- Thorough understanding of the markets and willingness to learn new and complex investment methodologies
- CFA, CAIA or FRM is a plus
Who You Are:- Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment.
- Excellent oral and written communication skills; must be able to confidently collaborate with various departments within the firm.
- Well-organized and detail oriented.
- A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.
The salary range for this role is expected to be $150,000 to $175,000. This is the range that we in good faith believe is accurate for this role at the time of this posting. We may ultimately pay more or less than the posted range, depending upon factors such as skills, experience, location, or other business and organizational needs. This wage range may also be modified in the future.
This job is also eligible for an annual discretionary bonus.
We offer comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees.
Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, benefits, or any other form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law.
