at D.E. Shaw
Hedge FundsPosted 2 days ago
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**Compliance Senior Associate** in NYC. Senior'Associate role ensuring firm's investment activities adhere to regulations. Key responsibilities include data analysis, compliance monitoring, and regulatory reporting. Ideal candidate holds a bachelor's degree in risk or related field and possesses 4+ years experience in SEC regulations, proxy voting rules, and quantitative methods. Base salary $130k-$150k. Email resume & cover letter to recruitment-nyc@world.deshaw.com.
- Compensation
- $130,000 – $150,000 USD
- City
- New York City
- Country
- United States
Currency: $ (USD)
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To apply for this job, please email your resume and the job title to recruitment-nyc@world.deshaw.com.
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Join our D. E. Shaw group in New York The D. E. Shaw group seeks senior associate level individuals to work closely with a team of attorneys and compliance professionals to ensure the firms business activities are conducted in strict accordance with regulatory requirements. This position affords the opportunity for broad exposure to the firms trading, operations, and software development groups, as well as the chance to handle real-time issues related to the firms suite of global investment products in a fast-paced, constantly evolving regulatory environment.
What youll do day-to-day
- Ensure the firm complies with all applicable laws and regulations related to its investment advisory activities.
- Contribute to projects that require gathering and analyzing large amounts of data from multiple internal data sources, coordinating with various internal stakeholders to identify key areas of risk, and conducting assessments to enhance existing frameworks for the purpose of monitoring and reporting in connection with the firms proxy voting activities.
- Design and implement protocols and analytical tools that help to ensure compliance with certain trade monitoring activities and other regulatory requirements.
- Analyze and identify key areas for enhancing the existing reporting framework in connection with recent regulatory changes pertaining to systemic risk filings.
- Handle proxy reporting duties under a new SEC regulatory requirement.
- Support Core Compliance activities, including advisory reporting (systemic risk filings, privacy, and cybersecurity), internal reviews and audits, and project development, management, and coordination.
- Support Compliance Trading team activities in connection with anticipated SEC rulemaking, including extensive support on proxy voting.
What were looking for
- A bachelors degree in risk, statistics, or a related field of study.
- Four years of experience in the following: working with SEC regulations applicable to registered investment advisers, including proxy voting rules, trade allocation requirements, and regulatory reporting obligations; analyzing proxy voting datasets and applying regulatory requirements to proxy voting processes, including preparation and validation of data used for regulatory and client reporting; analyzing large-scale trade and position data to support compliance monitoring and ensure regulatory accuracy and integrity; supporting the preparation, review, or validation of regulatory filings involving securities positions, trading activity, or systemic risk reporting, including Form 13H or similar large-trader or systemic risk filings; applying quantitative and statistical methods to large datasets for compliance monitoring, anomaly detection, and risk assessment, including use of structured analytical approaches; reconciling and validating data to ensure consistency, completeness, and accuracy for compliance monitoring and regulatory reporting purposes; designing, reviewing, or enhancing automated compliance surveillance reports or monitoring tools related to trading activity, trade allocation, or proxy voting, including rule-based or threshold-based monitoring logic; and, managing compliance or regulatory reporting systems and related technology infrastructure to ensure regulatory outputs function as intended, including system testing, validation, and issue resolution.
- The annual base salary for this position is $130,000 - $150,000. 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 2026-6011 CWA in the subject or body of your email.
The D. E. Shaw group is an equal opportunity employer.
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.
