Compliance Supervisor, Code of Ethics at AQR Capital Management

Arlington, Virginia, United States

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Not SpecifiedCompensation

Mid-level (3 to 4 years), Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Investment Management, Asset Management, Venture CapitalIndustries

Requirements

Work at Sands Capital’s headquarters in Arlington, Virginia on a hybrid schedule of three days per week in-office (including Tuesdays and Wednesdays), or more as directed
Ability to collaborate with Compliance team and staff firmwide to manage compliance programs for Sands Capital Management, Sands Capital Alternatives, and Sands Capital Horizons

Responsibilities

Design and develop the Code of Ethics program, including advising on policy changes, managing the Code of Ethics management system, leading monitoring and testing activities, acting as primary point of contact for staff on Code of Ethics matters, and building/administering related training
Manage and execute day-to-day Code of Ethics activities, including personal trading, gifts and entertainment, political contributions, outside business activities, certifications/questionnaires, other reporting, and conducting internal reviews
Maintain and update staff/firm information in the Code of Ethics management system (e.g., users, groups, rules, access permissions)
Oversee functionality and effectiveness of Code of Ethics systems (e.g., automated trade pre-clearance, broker feeds, portfolio population), monitor/prevent failures, and manage relationships with third-party software providers
Organize, maintain, and enhance compliance books and records, draft/update desktop procedures, and develop related logs/inventories
Draft and revise periodic updates to the Code of Ethics program
Improve Code of Ethics program quality/efficiency by following regulatory/technological developments and industry best practices, and implementing updates
Conduct new staff training on Code of Ethics policies/procedures and participate in drafting training materials
Address staff questions/requests on personal securities transactions, political contributions, outside business activities, etc
Prepare and evaluate Compliance metrics/data analytics for Code of Ethics program for presentation to Executive Management Committee

Skills

Key technologies and capabilities for this role

Code of EthicsCompliance ProgramPolicy DevelopmentMonitoring and TestingTraining AdministrationRisk MitigationRegulatory ComplianceBooks and Records

Questions & Answers

Common questions about this position

What is the work location and schedule for this role?

The role is based at Sands Capital’s headquarters in Arlington, Virginia, on a hybrid schedule of three days per week in-office (including Tuesdays and Wednesdays), or more as directed by your manager. The hybrid schedule is subject to change at any time.

What are the main responsibilities in the Code of Ethics program?

The role involves designing and developing the Code of Ethics program, managing day-to-day activities like personal trading and certifications, maintaining the management system, overseeing system functionality, and handling books and records.

What salary or compensation is offered for this position?

This information is not specified in the job description.

What is the team structure or collaboration like in this role?

The role works collaboratively with Sands Capital’s Compliance team to build and manage the compliance program for three investment advisers, and in conjunction with staff members firmwide to mitigate risks and enhance processes.

What makes a strong candidate for this Compliance Supervisor role?

Strong candidates will have expertise in compliance programs, particularly Code of Ethics administration, experience managing compliance systems and third-party providers, and the ability to lead monitoring, training, and firmwide collaboration.

AQR Capital Management

Global investment management firm offering diversified strategies

About AQR Capital Management

AQR Capital Management provides investment management services with a focus on technology, data, and behavioral finance. The firm offers a variety of investment strategies that are based on a consistent set of principles, aiming to achieve long-term and repeatable results. AQR works primarily with institutional investors such as pension funds, insurance companies, and sovereign wealth funds, as well as financial advisors and their clients. Their investment approach combines both qualitative and quantitative methods to carefully design and test investment models. AQR differentiates itself by applying systematic and well-thought-out investment solutions that enhance portfolio construction, risk management, and trading. The company's goal is to deliver value through effective asset management while generating revenue from management and performance fees on the assets they oversee.

Greenwich, ConnecticutHeadquarters

1998Year Founded

VENTURE_UNKNOWNCompany Stage

Quantitative Finance, Financial ServicesIndustries

501-1,000Employees

Benefits

Health Insurance

Dental Insurance

Vision Insurance

401(k) Retirement Plan

Paid Vacation

Risks

Increased competition from quantitative firms may erode AQR's market share.

The rise of passive strategies like ETFs could impact demand for AQR's services.

Regulatory scrutiny on quantitative trading could increase compliance costs for AQR.

Differentiation

AQR integrates financial theory with practical application for superior investment results.

The firm uses quantitative tools to process fundamental information and manage risk.

AQR's systematic approach aligns with the growing trend of factor investing.

Upsides

AQR can leverage ESG factors in their quantitative models to meet rising demand.

Machine learning advancements enhance AQR's data analysis and predictive modeling capabilities.

AQR can capitalize on personalized investment solutions with their quantitative tools.

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