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Compliance Officer - Two Sigma Securities
(more about Two Sigma)
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Compliance Officer - Two Sigma Securities

Two Sigma is a financial sciences company, combining data analysis, invention, and rigorous inquiry to help solve the toughest challenges in investment management, insurance technology, securities, private equity, and venture capital.

Our team of scientists, technologists, and academics looks beyond the traditional to develop creative solutions to some of the world’s most complex economic problems.

This role would provide compliance support to the broker dealer across all its businesses, with specific focus on wholesale market making and related broker dealer client facing businesses. The successful candidate will provide daily support, drafting written supervisory procedures, surveillance report development, reviewing surveillance reports, issue identification and offer pragmatic solutions on issues. They should also demonstrate the ability to think strategically for their coverage areas. 


You will take on the following responsibilities:
  • Specific responsibility for assisting the CCO with developing and coordinating a compliance program around automated trading with a focus on a wholesale market making and related client facing businesses.
  • Demonstrate microstructure knowledge of how markets work, issues residing in the markets and be able to speak of the impact they have had on their business counterparts.
  • Significant proven experience with Best Execution, Trade Reporting, CAT Reporting, Reg NMS, and Reg SHO.
  • Conduct surveillance reviews, draft supervisory procedures, respond to regulatory inquiries for all businesses.
  • Communicate effectively with securities regulators and examiners. 
  • Build deep and positive relationships with coverage areas and counterparts in other supporting roles (legal, ops etc.).
  • Be enthusiastic and passionate about digging into the details; demonstrate an appetite for knowledge and learning.
  • Build out compliance programs around new businesses as needed.

You should possess the following qualifications:
  • Minimum 1 year of work experience required; highly prefer 6 - 10 years relevant compliance experience, with at least 4 years related to automated trading strategies.
  • Aspiring and pragmatic demeanor toward solving problems.
  • Work well in a team environment.
  • Willing to get involved in all aspects of the compliance program when needed to assist other team members as needed.
  • Ability to read and interpret technical specification documents.
  • Ability to provide comprehensive compliance specifications to engineering, quantitative researchers and business partners.
  • Series 7, 57 and 24 preferred.

You will enjoy the following benefits:
  • Core Benefits: Fully paid medical and dental insurance premiums for employees and dependents, competitive 401k match, employer-paid life & disability insurance
  • Perks: Onsite gyms with laundry service, wellness activities, casual dress, snacks, game rooms
  • Learning: Tuition reimbursement, conference and training sponsorship
  • Time Off: Generous vacation and unlimited sick days, competitive paid caregiver leaves
  • Hybrid Work Policy: Flexible in-office days with budget for home office setup

The base pay for this role will be between $100,000 and $150,000. This role may also be eligible for other forms of compensation and benefits, such as a discretionary bonus, health, dental and other wellness plans and 401(k) contributions. Discretionary bonus can be a significant portion of total compensation. Actual compensation for successful candidates will be carefully determined based on a number of factors, including their skills, qualifications and experience.

We are proud to be an equal opportunity workplace. We do not discriminate based upon race, religion, color, national origin, sex, sexual orientation, gender identity/expression, age, status as a protected veteran, status as an individual with a disability, or any other applicable legally protected characteristics.