VP - Investment & Trading Compliance

1 week ago

London, Greater London, United Kingdom AQR Capital Management Full time

About AQR Capital Management

AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking past market noise to identify and isolate the factors that matter most, and by developing ideas that stand up to rigorous testing. By putting theory into practice, we have become a leader in alternative strategies and an innovator in traditional portfolio management since 1998.

At AQR, our employees share a common spirit of academic excellence, intellectual honesty and an unwavering commitment to seeking the truth. We're determined to know what makes financial markets tick – and we'll ask every question and challenge every assumption. We recognize and respect the power of collaboration and believe transparency and openness to new ideas leads to innovation.

The Team

AQR Capital Management, LLC is looking for an exceptionally talented individual to join our Investment and Trading Compliance team. AQR's Compliance team is responsible for ensuring the firm's adherence to not only its legal, regulatory and fiduciary requirements, but also to the high ethical standards expected from all of its employees. The team oversees the development of policies and procedures, training and continuing compliance education, risk identification and guidance to business and operational units. AQR's Compliance team reinforces the firm's commitment to a culture of compliance in a dynamic legal and regulatory environment.

Your Role

  • Monitor adherence to client guidelines, offering documents, internal parameters, and statutory requirements for private funds, separately managed accounts and registered products (e.g., 40 Act Funds, UCITS Funds)
  • 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
  • Coordinate with key stakeholders on ESG matters; assist in implementation of proxy voting policy
  • Implement and/or refine monitoring measures to identify/address issues on a "real time" basis and assist with resolution
  • Draft/edit written policies and procedures to respond to business/regulatory changes or to launch new business lines
  • Respond to regulatory inquiries from US and foreign financial authorities

What You'll Bring

  • Bachelor's degree and 7+ years of related experience
  • CFA, CAIA, or FRM a plus
  • Strong knowledge of equity and derivative instruments; knowledge of alternative investment strategies required
  • Thorough understanding of the markets and applicable laws, rules and regulations
  • Advanced knowledge of guideline monitoring/surveillance software and Bloomberg
  • Willingness to learn new and complex investment methodologies

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 senior management and 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 $155,000 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 a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees.

AQR is an Equal Opportunity Employer. EEO/VET/DISABILITY

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