Compliance - Investment Compliance Associate - Associate

About AQR Capital Management

 AQR is a global investment management firm built at the intersection of financial theory and practical application. We strive to deliver superior, long-term results for our clients by seeking to filter out market noise to identify and isolate what matters most, and by developing ideas that stand up to rigorous testing. Underpinning this philosophy is an unrelenting commitment to excellence in technology — powering our insights and analysis. 

AQR takes a systematic, research-driven approach, applying quantitative tools to process fundamental information and manage risk. Our clients include institutional investors, such as pension funds, insurance companies, endowments, foundations and sovereign wealth funds, as well as financial advisors.

We are currently seeking an exceptionally talented individual with three to six years of investment or trading compliance experience to join our Compliance Department.

Your Role

• Monitor and escalate non-adherence to compliance guidelines and rules to senior managers in the compliance department through systems and tools
• Update compliance and investment guidelines in accordance with client requests, trading laws, regulations as applicable to AQR across the globe in different tools
• Responsible for portfolio surveillance and monitoring measures and to escalate appropriately to senior managers when system highlights alerts
• Proactively update compliance systems to reflect business and regulatory changes, including client and regulatory restricted lists
• Support, build and update compliance checklists for all applicable policies and procedures
• Prepare process improvement documentation

What You’ll Bring

• A BA or BS and a minimum of 3-5 years of related experience
• Strong knowledge of equity and derivative investment strategies
• Strong knowledge of guideline monitoring software, Bloomberg, or a similar Order Management and Compliance Monitoring System is a plus
• Thorough understanding of the markets and willingness to learn new and complex investment methodologies
• Understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and UCIT regulations especially in relation to alternative investment strategies is a plus  
• C.F.A. or C.P.A. or local equivalent is a plus

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 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.