Compliance Risk Manager

2 days ago

Montreal, Quebec, Canada Squarepoint Capital Full time

Squarepoint Capital is a global investment management firm that leverages a diversified portfolio of systematic and quantitative strategies across financial markets to achieve high-quality, uncorrelated returns for its clients. With deep expertise in trading, technology, and operations, the firm attributes its success to rigorous scientific research and a data-driven approach. As a technology-driven firm, Squarepoint Capital designs and builds its own cutting-edge systems, from high-performance trading platforms to large-scale data analysis and compute farms. With offices around the globe, the firm emphasizes true, global collaboration by aligning its investment, technology, and operations teams functionally around the world.

Role: Compliance Analyst

Department: Compliance

The Compliance Department at Squarepoint Capital has a wide range of roles and responsibilities that seek to:

  • Maintain and protect the good reputation of the firm
  • Promote a strong culture of compliance and ethical behavior
  • Ensure compliance with the multitude of laws and regulations that the firm is subject to

Position Overview:

  • Support the Compliance department in the delivery of the wider compliance program
  • Assist with PA Dealing approvals and certifications
  • Prepare and review data used for regulatory reporting to SEC, FCA, and MAS
  • Review and allocate invoices owned by the Compliance department
  • Assist with trade surveillance monitoring to detect market abuse or improper trading behavior
  • Conduct daily analysis of automated surveillance alerts through systems such as SMARTS
  • Carry out audio and electronic communications surveillance
  • Assist with e-discovery requests
  • Conduct periodic forensic testing and reviews in accordance with the Compliance Monitoring Plan

Required Qualifications:

  • Bachelor's degree in finance, business, or a related field; or professional certification (e.g., CAMS) preferred
  • 1-3 years of compliance, audit, risk, or regulatory experience
  • Knowledge of various financial products and markets
  • Excellent administrative skills and the ability to prioritize tasks to meet deadlines
  • Ability to maintain a high level of confidentiality while handling protected and sensitive material
  • Strong written and verbal communication skills

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