Compliance Officer

About the Role

Engineers Gate (EG) is a multi-manager platform and investment adviser Manager registered with the US SEC and CFTC / NFA – see profile here: https://www.linkedin.com/company/engineers-gate.  EG has offices in NYC, London and Singapore.

We are a team of researchers, engineers, and financial industry professionals using sophisticated statistical models to analyze data and identify predictive signals to generate superior investment returns. EG’s investment teams each focus on their independent strategies while utilizing the firm’s proprietary, state-of-the-art technology and data platform to optimize their alpha research.

We are seeking a NYC-based Compliance Officer to support our growth. You will be joining a team of professionals that are committed to facilitating the Firm’s adherence to its fiduciary duties, regulatory compliance and providing commercial solutions to the business. You will  assist in all other aspects of the Firm’s US based compliance program including preparation of regulatory submissions, surveillance, training and policy development implementation. You will also be joining a highly collaborative and collegial team.  

With the rapid and on-going evolution of the legal and regulatory landscape, the work is fast-paced and the successful candidate will be continually learning while actively contributing to a wide range of compliance initiatives.

The ideal candidate must be eager to roll up their sleeves and engage in all facets of a project. This role requires adaptability to operate outside their comfort zone and readily embrace any challenges as opportunities for growth. A strong work ethic and high intellectual curiosity are paramount, with a readiness to tackle all tasks with the same level of diligence and dedication. We value candidates who can be trusted to represent the broader team and understand how to handle sensitive and confidential information.

Candidates with experience in fundamental trading strategies, expert networks, capital markets and futures trading will be prioritized.

Key Responsibilities

• Take a leading role in ongoing development and implementation of the Firm’s compliance program.
• Ability to efficiently interact with other departments and senior management of the Firm.
• Collaborate and engage with internal stakeholders to address compliance issues and mitigate risks.
• Provide support across a variety of compliance initiatives including Code of Ethics, regulatory filings, cybersecurity, electronic communication surveillance, artificial intelligence, alternative data, trade surveillance, vendor due diligence, and updating and testing of compliance procedures, in conjunction with the Chief Compliance Officer.
• Develop proficiency with the Firm’s suite of compliance tools including Bloomberg Vault, ComplySci, FundApps, and OneTick.
• Develop subject matter excellence in ongoing regulatory developments and industry trends that are relevant to the Firm.

Required Skills, Qualifications and Experience

• Undergraduate degree required; investment management and/or finance experience is a major plus, JD and experience working at a law firm is preferred
• 3-6 years of experience as a compliance professional or a lawyer within the financial services industry is advantageous.
• Strong interest and willingness to develop expertise in regulatory and compliance matters in the alternative investment industry.
• Excellent communication and interpersonal skills with the ability to exercise discretion and sound judgment with respect to highly confidential/sensitive information.
• Demonstrated work ethic and time management skills to manage multiple projects with a strong sense of urgency.
• Ability to adapt and thrive in a fast-paced, collaborative environment.

The salary for this role is anticipated to be between $150,000 - $175,000.  This range does not include any potential bonus amounts, other forms of compensation, or benefits offered.