Compliance Officer

What you'll do day-to-day

• Conduct compliance testing by interpreting regulatory requirements, designing test plans, coordinating and carrying out reviews, and documenting findings and recommendations.
• Perform investment adviser-related regulatory analysis, including evaluating the impact of new business initiatives and policy changes.
• Monitor third-party service providers to ensure compliance with contractual and regulatory standards.
• Prepare and present internal metrics and compliance reports for senior stakeholders.
• Developtrainings to support compliance initiatives and promote awareness of regulatory obligations across the firm.

What we're looking for

• A bachelor's degree or higher, with an impressive record of academic and professional achievement.
  
• Four to eight years of experience in compliance, audit, or a related legal or operational role; experience at a financial services firm, particularly an investment adviser, is a plus but not required.
  
• Keen analytical skills, comfort with numbers and data, and a genuine interest in using technical tools to streamline processes.
  
• Excellent written and verbal communication skills, with the ability to produce clear reports and materials for senior audiences.
  
• Well-developed judgment and discretion, and the ability to manage large processes and coordinate workstreams across legal, compliance, operations, front office, and technology teams.
  
• A high level of motivation, a record of taking initiative, well-developed problem-solving skills, and the ability to think creatively and strategically.
  
• The expected annual base salary for this position is $140,000 to $180,000. Our compensation and benefits package includes variable compensation in the form of a year-end bonus, guaranteed in the first year of hire, and benefits including medical and prescription drug coverage, 401(k) contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.
  

The D. E. Shaw group is an equal opportunity employer.


The applicable annual base salary or hourly rate paid to a successful applicant will be determined based on multiple factors, including without limitation the nature and extent of prior experience and educational background.

European Union (EU) , United Kingdom (UK) , California , Hong Kong , Singapore , or Shanghai candidates should refer to the corresponding linked privacy notice.


The D. E. Shaw group may collect, use, hold, transfer, and process candidates' resumes and associated information (including personal information contained therein) for purposes reasonably related to their application, including without limitation: review and management of employment applications and supporting materials; administration and management of offers to and communication with candidates; and administration, management, and improvement of the recruiting operations of the D. E. Shaw group; and/or where reasonably required in connection with a proposed sale, spin-out, reorganization, or outsourcing of all or some of the business of the D. E. Shaw group. The D. E. Shaw group will not use such information for purposes unrelated to the foregoing, such as direct marketing of third-party products to candidates, without candidate consent. As used herein, the term "personal information" is meant to broadly describe information identifying or relating to a specific individual; it is intended to encompass "personal data," "sensitive personal data," and "personally identifiable information" and similar terms, as those terms are defined by law in the jurisdictions in which the D. E. Shaw group operates.


The D. E. Shaw group may transfer such personal information within and outside the country and jurisdiction of the locations where the D. E. Shaw group maintains offices, to other D. E. Shaw group affiliates, to government and regulatory authorities, and to third parties which provide or may provide support and/or services to the D. E. Shaw group and for the purposes set forth above. The persons who may have access to this personal information are other employees of the D. E. Shaw group, in connection with the performance of their duties of employment, and the other parties listed above, in connection with the business of the D. E. Shaw group. (Of course, candidates will be considered for employment opportunities only in those countries in which they express interest.)


The D. E. Shaw group will use reasonable care to maintain the confidentiality of personal information (including appropriate technical measures against unauthorized or unlawful processing and against accidental loss or destruction of, or damage to, such information) and will retain such data as required by applicable law or regulation. Candidates have the right to request access to, and correction of, their personal information in accordance with applicable law; any such request should be submitted to View email address on click.appcast.io . Candidates who have submitted a resume to the D. E. Shaw group and do not wish to proceed with their applications should email View email address on click.appcast.io . Personal information of candidates who have been the subject of background checks may have been transferred in accordance with applicable regulations, and any concerns with such transfers should be submitted to View email address on click.appcast.io .


The D. E. Shaw group may retain candidates' information for prospective recruiting activities, including sourcing candidates for employment opportunities and for organizing events with prospective candidates, in accordance with our internal data retention procedures. Candidates who do not agree to such future use should email View email address on click.appcast.io .