Financial Regulatory Compliance Officer

6 days ago

Montreal, Quebec, Canada Squarepoint Capital Full time

**About Squarepoint Capital**

Squarepoint Capital is a global investment management firm that utilizes a diversified portfolio of systematic and quantitative strategies across financial markets to achieve high-quality, uncorrelated returns for our clients.

We have deep expertise in trading, technology, and operations and attribute our success to rigorous scientific research. As a technology and data-driven firm, we design and build our own cutting-edge systems, from high-performance trading platforms to large-scale data analysis and compute farms.

With a global presence, we emphasize true, global collaboration by aligning our investment, technology, and operations teams functionally around the world. Building on our quantitative research platform and process-driven approach, Squarepoint Capital also runs discretionary strategies to augment our systematic approach and monetize opportunities that may not be suitable for systematic trading.

**Compliance Department Overview**

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

**Job Summary**

We are seeking a highly motivated and detail-oriented Compliance Analyst to support the Compliance department in the delivery of the wider compliance program. The successful candidate will assist with PA Dealing approvals and certifications, prepare and review data used for regulatory reporting, and review and allocate invoices owned by the Compliance department.

The Compliance Analyst will also 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, and carry out audio and electronic communications surveillance.

**Key Responsibilities**

  • 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
  • Review and allocate invoices owned by the Compliance department
  • Assist with trade surveillance monitoring
  • Conduct daily analysis of automated surveillance alerts
  • 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

**Requirements**

  • 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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