Trexquant is a tech-driven systematic fund manager leveraging machine learning and quantitative strategies for global equity and futures trading. With offices in the U.S., China, and India, our innovative team of researchers, technologists, and finance professionals pushes the boundaries of quantitative finance.
We are seeking a Chief Compliance Officer (CCO) to join our senior leadership team, overseeing compliance with guidance from our current CCO/General Counsel. This is an exciting opportunity for a compliance professional to thrive in a fast-paced, intellectually stimulating environment where technology, finance, and regulatory oversight converge.
Responsibilities
Lead compliance oversight for our SEC-registered investment adviser for private funds.
Maintain and enhance compliance frameworks, policies, and monitoring systems.
Develop and implement regulatory monitoring controls to ensure alignment with SEC laws.
Work closely with quantitative researchers, engineers, and traders to integrate compliance into our algorithmic trading framework.
Oversee regulatory filings and disclosures (ADV, Form PF, 13F, and other key filings).
Develop risk assessments and report findings to the CEO and senior leadership.
Represent compliance in investor diligence meetings and regulatory discussions.
Provide training and guidance to employees on evolving regulatory requirements.
Stay ahead of industry trends, participate in SEC outreach programs, and proactively adapt to new compliance challenges in systematic trading.
Bachelor’s degree, with preferred certifications such as JD, CFA, or CPA.
Seasoned compliance leader with at least 6 years of management-level experience at an SEC-registered investment adviser, regulator, or in-house legal department.
Deep understanding of SEC regulations, including the Investment Advisers Act of 1940, cybersecurity requirements, and best practices for investment firms.
Highly analytical, tech-savvy, and adaptable, with experience navigating software-driven finance environments.
Strong communicator and strategic thinker who can provide clear compliance direction while working with teams at the intersection of finance, regulation, and technology.
...funding. Start dates are determined after funding confirmation. Northrop Grumman Aeronautics Systems has an opening for an Aircraft Mechanic 3 or 4 Structures join our team of qualified, diverse individuals at MCAS Miramar, CA. The selected individual will...
Join the forefront of groundbreaking research at the Beckman Research Institute of City of Hope, where we're changing lives and making a real difference in the fight against cancer, diabetes, and other life-threatening illnesses. Our dedicated and compassionate faculty...
...run their businesses, use information effectively and improve performance. Our services include compliance, consulting services, accounting system solutions, grant writing, biofuels benchmarking, accounting and attestation, and tax preparation. Are you ready to grow...
...Walker Today! Are you passionate about pets? Do you enjoy the great outdoors and have a knack for pet care? Buckhead Pet Pals is on the lookout for an enthusiastic and experienced Dog Walker to become part of our family! Since 1998, we've been serving the Atlanta area...
...professional home, Wipfli offers a career-defining opportunity.Are you passionate about making a difference in the nonprofit sector? Join our dynamic outsourced accounting team as an outsourced controller and help mission-driven organizations thrive through financial excellence...