What are the responsibilities and job description for the Compliance Associate position at D. E. Shaw & Co., L.P.?
Join our Various team in New York
The D. E. Shaw group seeks associate level individuals to work closely with a team of attorneys and compliance professionals to help ensure that the firm’s business activities are conducted in strict accordance with regulatory requirements. This position affords the opportunity for broad exposure to the firm’s trading, operations, and software development groups. You’ll join an inclusive team that values thoughtfulness and collaboration.
What you’ll do day-to-day
You’ll 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. You’ll 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. You’ll conduct due diligence on external data vendors to ensure that the firm is not exposed to material nonpublic information or personal identification information. You’ll review the firm’s discretionary trading and electronic communications to ensure that firm employees are abiding by applicable compliance policies. You’ll implement trading restrictions in firmwide trading systems that are in line with regulatory requirements across global jurisdictions. You’ll work on improvements and enhancements to the infrastructure to save the business time and make processes more efficient. You’ll review and test the effectiveness of the policies and controls that the firm has implemented and incorporate updates as required. You’ll work on long-term projects to build trading restriction monitoring infrastructure that is in line with the evolving regulatory environment. You’ll handle position transfer processes that require detailed analysis of the firm’s trade and position data. You’ll 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. You’ll 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. You’ll provide compliance oversight for conversations between the firm’s private-side business units and public-facing staff.
Who we’re looking for
Candidates must have a bachelor’s degree in economics, global affairs, or a related field of study.
Three years of experience 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.
The annual base salary for this position is $144,352 to $144,352. 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, 401(k) contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.
Please email your resume and cover letter to recruitment-nyc@world.deshaw.com. Please reference 2025-5393 CWA in the subject or body of your email.
At the D. E. Shaw group, we believe the diversity of our employees is core to our strength and success. We are committed to supporting our people in work and in life, which is why we offer benefits such as a family planning and surrogacy program and a charitable gift match to all full-time employees.
Additionally, our staff-led affinity groups are pillars of our community, helping to celebrate diversity, promote leadership and development opportunities, and facilitate inclusive mentorship. Members and allies organize a wide range of educational and social programming, from expert talks to film festivals.
The members of the D. E. Shaw group do not discriminate in employment matters on the basis of race, color, religion, gender, gender identity, pregnancy, national origin, age, military service eligibility, veteran status, sexual orientation, marital status, disability, caregiver status, or any other category protected by law. We are committed to the principles of diversity, equity, and inclusion, and are eager to hear from individuals having a wide range of backgrounds and personal characteristics.
The applicable annual base salary or hourly rate paid to a successful applicant will be determined based on multiple factors, including without limitation the nature and extent of prior experience and educational background.
European Union (EU), United Kingdom (UK), California, Hong Kong, Singapore, or Shanghai candidates should refer to the corresponding linked privacy notice.
The D. E. Shaw group may collect, use, hold, transfer, and process candidates’ resumes and associated information (including personal information contained therein) for purposes reasonably related to their application, including without limitation: review and management of employment applications and supporting materials; administration and management of offers to and communication with candidates; and administration, management, and improvement of the recruiting operations of the D. E. Shaw group; and/or where reasonably required in connection with a proposed sale, spin-out, reorganization, or outsourcing of all or some of the business of the D. E. Shaw group. The D. E. Shaw group will not use such information for purposes unrelated to the foregoing, such as direct marketing of third-party products to candidates, without candidate consent. As used herein, the term “personal information” is meant to broadly describe information identifying or relating to a specific individual; it is intended to encompass “personal data,” “sensitive personal data,” and “personally identifiable information” and similar terms, as those terms are defined by law in the jurisdictions in which the D. E. Shaw group operates.
The D. E. Shaw group may transfer such personal information within and outside the country and jurisdiction of the locations where the D. E. Shaw group maintains offices, to other D. E. Shaw group affiliates, to government and regulatory authorities, and to third parties which provide or may provide support and/or services to the D. E. Shaw group and for the purposes set forth above. The persons who may have access to this personal information are other employees of the D. E. Shaw group, in connection with the performance of their duties of employment, and the other parties listed above, in connection with the business of the D. E. Shaw group. (Of course, candidates will be considered for employment opportunities only in those countries in which they express interest.)
The D. E. Shaw group will use reasonable care to maintain the confidentiality of personal information (including appropriate technical measures against unauthorized or unlawful processing and against accidental loss or destruction of, or damage to, such information) and will retain such data as required by applicable law or regulation. Candidates have the right to request access to, and correction of, their personal information in accordance with applicable law; any such request should be submitted to recruiting-inquiries@deshaw.com. Candidates who have submitted a resume to the D. E. Shaw group and do not wish to proceed with their applications should email cvwithdraw@deshaw.com. Personal information of candidates who have been the subject of background checks may have been transferred in accordance with applicable regulations, and any concerns with such transfers should be submitted to backgroundcheck-inquiries@deshaw.com.
The D. E. Shaw group may retain candidates’ information for prospective recruiting activities, including sourcing candidates for employment opportunities and for organizing events with prospective candidates, in accordance with our internal data retention procedures. Candidates who do not agree to such future use should email recruiting-inquiries@deshaw.com.
The D. E. Shaw group seeks associate level individuals to work closely with a team of attorneys and compliance professionals to help ensure that the firm’s business activities are conducted in strict accordance with regulatory requirements. This position affords the opportunity for broad exposure to the firm’s trading, operations, and software development groups. You’ll join an inclusive team that values thoughtfulness and collaboration.
What you’ll do day-to-day
You’ll 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. You’ll 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. You’ll conduct due diligence on external data vendors to ensure that the firm is not exposed to material nonpublic information or personal identification information. You’ll review the firm’s discretionary trading and electronic communications to ensure that firm employees are abiding by applicable compliance policies. You’ll implement trading restrictions in firmwide trading systems that are in line with regulatory requirements across global jurisdictions. You’ll work on improvements and enhancements to the infrastructure to save the business time and make processes more efficient. You’ll review and test the effectiveness of the policies and controls that the firm has implemented and incorporate updates as required. You’ll work on long-term projects to build trading restriction monitoring infrastructure that is in line with the evolving regulatory environment. You’ll handle position transfer processes that require detailed analysis of the firm’s trade and position data. You’ll 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. You’ll 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. You’ll provide compliance oversight for conversations between the firm’s private-side business units and public-facing staff.
Who we’re looking for
Candidates must have a bachelor’s degree in economics, global affairs, or a related field of study.
Three years of experience 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.
The annual base salary for this position is $144,352 to $144,352. 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, 401(k) contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.
Please email your resume and cover letter to recruitment-nyc@world.deshaw.com. Please reference 2025-5393 CWA in the subject or body of your email.
At the D. E. Shaw group, we believe the diversity of our employees is core to our strength and success. We are committed to supporting our people in work and in life, which is why we offer benefits such as a family planning and surrogacy program and a charitable gift match to all full-time employees.
Additionally, our staff-led affinity groups are pillars of our community, helping to celebrate diversity, promote leadership and development opportunities, and facilitate inclusive mentorship. Members and allies organize a wide range of educational and social programming, from expert talks to film festivals.
The members of the D. E. Shaw group do not discriminate in employment matters on the basis of race, color, religion, gender, gender identity, pregnancy, national origin, age, military service eligibility, veteran status, sexual orientation, marital status, disability, caregiver status, or any other category protected by law. We are committed to the principles of diversity, equity, and inclusion, and are eager to hear from individuals having a wide range of backgrounds and personal characteristics.
The applicable annual base salary or hourly rate paid to a successful applicant will be determined based on multiple factors, including without limitation the nature and extent of prior experience and educational background.
European Union (EU), United Kingdom (UK), California, Hong Kong, Singapore, or Shanghai candidates should refer to the corresponding linked privacy notice.
The D. E. Shaw group may collect, use, hold, transfer, and process candidates’ resumes and associated information (including personal information contained therein) for purposes reasonably related to their application, including without limitation: review and management of employment applications and supporting materials; administration and management of offers to and communication with candidates; and administration, management, and improvement of the recruiting operations of the D. E. Shaw group; and/or where reasonably required in connection with a proposed sale, spin-out, reorganization, or outsourcing of all or some of the business of the D. E. Shaw group. The D. E. Shaw group will not use such information for purposes unrelated to the foregoing, such as direct marketing of third-party products to candidates, without candidate consent. As used herein, the term “personal information” is meant to broadly describe information identifying or relating to a specific individual; it is intended to encompass “personal data,” “sensitive personal data,” and “personally identifiable information” and similar terms, as those terms are defined by law in the jurisdictions in which the D. E. Shaw group operates.
The D. E. Shaw group may transfer such personal information within and outside the country and jurisdiction of the locations where the D. E. Shaw group maintains offices, to other D. E. Shaw group affiliates, to government and regulatory authorities, and to third parties which provide or may provide support and/or services to the D. E. Shaw group and for the purposes set forth above. The persons who may have access to this personal information are other employees of the D. E. Shaw group, in connection with the performance of their duties of employment, and the other parties listed above, in connection with the business of the D. E. Shaw group. (Of course, candidates will be considered for employment opportunities only in those countries in which they express interest.)
The D. E. Shaw group will use reasonable care to maintain the confidentiality of personal information (including appropriate technical measures against unauthorized or unlawful processing and against accidental loss or destruction of, or damage to, such information) and will retain such data as required by applicable law or regulation. Candidates have the right to request access to, and correction of, their personal information in accordance with applicable law; any such request should be submitted to recruiting-inquiries@deshaw.com. Candidates who have submitted a resume to the D. E. Shaw group and do not wish to proceed with their applications should email cvwithdraw@deshaw.com. Personal information of candidates who have been the subject of background checks may have been transferred in accordance with applicable regulations, and any concerns with such transfers should be submitted to backgroundcheck-inquiries@deshaw.com.
The D. E. Shaw group may retain candidates’ information for prospective recruiting activities, including sourcing candidates for employment opportunities and for organizing events with prospective candidates, in accordance with our internal data retention procedures. Candidates who do not agree to such future use should email recruiting-inquiries@deshaw.com.
Salary : $144,352
