Compliance Analyst

Compliance Analyst

Two Sigma is a leading quantitative investment management and trading firm. The company applies a scientific approach to investing, combining cutting-edge technology, artificial intelligence, data science, and quantitative research with rigorous human inquiry to capitalize on market opportunities and deliver alpha for investors. Our team of engineers, quantitative researchers and data scientists looks beyond the traditional to test hypotheses and develop creative solutions to some of the world's most complex economic problems. Two Sigma Securities brings a scientific approach to systematic trading and risk management to make markets more efficient. Our team trades over 10,000 US equities and 4,000 listed options, leveraging our high performance trading system to execute over 850 million shares per day. Two Sigma Securities is entering an exciting growth phase. We value the insights of our colleagues and encourage them to innovate and shape their own work agenda. New joiners use our proprietary platform to work on diverse projects. From building next generation trading technologies and researching novel AI and machine learning techniques to enhancing our strategies and deploying automation, our team is pushing the frontier in systematic trading. 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;
• Entrepreneurial/pragmatic attitude toward solving problems;
• Work well in a team environment;
• 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. 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.