Compliance Associate positions available. D. E. Shaw & Co., L.P. seeks full-time Compliance Associates to work in its office in New York, New York.
Responsibilities:
Research federal securities laws and work with a team of attorneys and compliance professionals to ensure that the firm's activities are conducted in strict accordance with regulatory requirements. Research methods of automated data gathering from publicly available websites and analyze whether web scraping projects may potentially impact the operation of sites from which data is being gathered. Conduct due diligence on external data vendors to ensure that the firm is not exposed to material nonpublic information or personal identification information. Review the firm's discretionary trading and electronic communications to ensure that firm employees are abiding by applicable compliance policies. Implement trading restrictions in firmwide trading systems that are in line with regulatory requirements across global jurisdictions. Work on improvements and enhancements to the infrastructure to save the business time and make processes more efficient. Review and test the effectiveness of the policies and controls that the firm has implemented and incorporate updates as required. Work on long-term projects to build trading restriction monitoring infrastructure that is in line with the evolving regulatory environment. Handle position transfer processes that require detailed analysis of the firm's trade and position data. Collaborate with other Compliance team members to support the firm's business units, design and review automated compliance surveillance reports, and work on various long-term projects to help maintain the firm's high standards of compliance with new and existing regulations. Provide desk support to business units for their counterparty non-disclosure agreements, ensuring that entities for which the desk receives material nonpublic information are appropriately restricted. Provide compliance oversight for conversations between the firm's private-side business units and public-facing staff.
Requirements:
The successful candidate will have a Bachelor's degree in Economics, Global Affairs, or a related field of study, plus three (3) years of experience with conducting online public records research on the U.S. Securities and Exchange Commission website, litigation portals (including PACER), and corporate databases; assessing how companies screen potential vendors for due diligence purposes; writing complex findings in business English; analyzing the relevance of various types of information for entities' operations; reviewing different types of financial institutions; and, using compliance frameworks and concepts, including KYC, AML, sanctions, and vendor screening.
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, 401k contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.
To Apply:
Applicants may submit a resume by mail to D. E. Shaw & Co., L.P., Two Manhattan West, 375 Ninth Avenue, 52nd Floor, New York, NY 10001, or by email: recruitment-nyc@world.deshaw.com. Submissions must reference 2025-5393 NYT. No phone calls please.
D. E. Shaw is an equal employment opportunity employer and does not discriminate against any applicant on the basis of race, color, religion, gender, gender identity, pregnancy, national origin, age, military service eligibility, veteran status, sexual orientation, marital status, disability, or other category protected by law.
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