Analyst - Compliance (Compliance Testing)
D. E. Shaw India Private Limited
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Job Description
We are seeking an analyst to join our Compliance team at the firm’s offices based in Hyderabad and Gurugram to work closely with a team of attorneys and compliance professionals to help ensure that the firm’s business activities are conducted in strict accordance with regulatory requirements. The Compliance group is an integral part of our global Financial Operations group and is responsible for implementing and enforcing policies and procedures across multiple regulatory requirements. This position affords the opportunity for broad exposure to the firm’s trading, operations, and software development groups, as well as the chance to handle real-time issues related to the firm’s expanding suite of global investment products in a dynamic, constantly evolving regulatory environment. The D. E. Shaw group uses a combination of quantitative and qualitative tools to uncover self- governing, hard-to-find sources of return across global public and private markets.
WHAT YOU'LL DO DAY-TO-DAY:
The Financial Operations group is an integral part of our global operations. If hired, you will support one of the functions mentioned below.
Trade Reporting - As a member of the team, you will play a key role in reviewing reports related to the firm’s trading activities, supporting the organization in meeting its regulatory reporting obligations. Your responsibilities will include preparing and submitting regulatory filings that require both complex quantitative analysis and qualitative assessment of the firm’s trade and position data. These filings and reports will include, among others, ownership disclosures, with an emphasis on the United States (e.g., Schedule 13G) and the broader Americas region. You will also contribute to long-term projects in collaboration with the development and analytics teams, ensuring that the firm maintains its rigorous standards of compliance with both new and existing regulatory requirements. In addition to this, you will work closely with Compliance team members across multiple offices develop, refine, and implement policies and procedures that support these reporting processes.
Compliance Testing - You’ll develop an understanding of the firm’s structure, business activities, policies and procedures, and related regulatory expectations. You’ll gather and analyze information about various aspects of the firm’s activities and internal controls and identify possibilities for improvement, involving periodic testing of various compliance processes and meticulous documentation of the results. You’ll be expected to interact with various groups across the firm (for example, Compliance, Front Office, Financial Operations, Human Capital and Technology); while developing and maintaining excellent working relationships to ensure understanding of processes and cooperation. In addition to this, you’ll perform reviews of the Firm’s policies and procedures to identify potential violations of policy, conduct complex quantitative and qualitative analysis of the firm’s data, and be required to represent the results during meetings with stakeholders and in various discussions, activities, and initiatives pertaining to the Compliance Testing team.
WHO WE’RE LOOKING FOR:
The ideal candidate should have –
- Chartered Accountant along with 0-2 years of work experience in audit, business process consulting, compliance, or similar roles involving internal controls in financial services industry.
- A result-oriented mindset, self-motivation, robust analytical and problem-solving skills, the ability to learn quickly, high attention to detail, and the capacity to meet tight deadlines
- Excellent written and oral communication skills along with exceptional interpersonal skills
- An understanding of the investment management/hedge fund industry, securities regulations and financial instruments
- Experience in preparing risk assessments and formal written reports
We encourage candidates with relevant experience looking to restart their careers after a break to apply for this position. Learn about Recommence, our gender-neutral return-to-work initiative.
The Firm offers excellent benefits, a casual, collegial working environment, and an attractive compensation package. For further information about our recruitment process, including how applicant data will be processed, please visit https://www.deshawindia.com/careers.
Members of the D. E. Shaw group do not discriminate in employment matters on the basis of sex race, colour, caste, creed, religion, pregnancy, national origin, age, military service eligibility, veteran status, sexual orientation, marital status, disability, or any other protected class.
About The Company
D. E. Shaw India Private Limited
D. E. Shaw India Private Limited (D. E. Shaw India) is an integral part of the D. E. Shaw group, a global investment & technology development firm. Established in 1996 as a technological development center, D. E. Shaw India has expanded its business into a broad range of software and financial activities. Its staff collaborates with colleagues around the world not only to build cutting-edge proprietary software systems that form an intrinsic part of the D. E. Shaw group’s investment activities but also to provide research & operations support to the firm’s systematic, discretionary, & hybrid strategies. Founded in 1988, the D. E. Shaw group quickly became a pioneer in computational finance. Today, the firm has offices around the globe & an institutional-grade infrastructure. We believe that our diverse & inclusive work culture drives creativity, productivity, & performance. An entrepreneurial spirit has always been a part of D. E. Shaw group’s culture. When external platforms don’t meet our needs, we build our own. We created one of the first NoSQL databases in our industry, built a powerful data analysis library for Python before Pandas existed, & built a modern web engineering framework tailored to the firm’s needs. This profile & any links posted through this profile (together, the “Content”) are provided for your information only & do not convey investment advice or an offer of any type with respect to any securities or other financial products. The D. E. Shaw group does not endorse any information or beliefs discussed in any links posted through this profile & makes no representation as to the accuracy or adequacy of the Content. The Content has not been updated for any information that may have changed since publication. No assurances can be given that any aims, assumptions, or expectations expressed or implied in the Content were or will be realized, or that the activities described have continued or will continue at all or in the same manner as described.
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