Manager, Complaints and Post-Market
Noah MedicalFull Time
Junior (1 to 2 years)
Candidates must have 8-10 years of experience in a surveillance function at a bank or investment manager, with a primary focus on market conduct and surveillance. Essential experience includes using trade surveillance systems like SMARTS or ACA Compliance Alpha, calibrating and managing trade surveillance system alerts, detecting market abuse in fixed income and futures markets (Insider Trading, Spoofing, Layering), and electronic communications monitoring (Bloomberg, chat, email). Strong knowledge of traded instruments and analytical/investigative skills are essential. Experience with Microsoft Office (Word, Excel) and Bloomberg is also required. Helpful qualifications include understanding exchange contract position limits, regulatory reporting (FCA MAR, SYSC 10A), market conduct risk assessment, FCA SM&CR, onboarding new surveillance systems, and advisory experience with trading staff.
The Senior Compliance Officer will monitor trading activity to detect market abuse and ensure regulatory compliance, operating and assessing surveillance systems including alert handling and performance evaluations. Responsibilities include maintaining knowledge of regulatory frameworks like FCA and ESMA, collaborating with front office and support teams, leading annual market conduct reviews and risk assessments, supporting the wall crossing approvals process, assisting with exchange contract position limits, facilitating approvals under US SEC Regulation M Rule 105, training compliance officers on surveillance procedures, managing electronic communications, and reviewing conduct requirements in the compliance monitoring program.
Global investment management firm offering diversified strategies
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.