Chief Compliance Officer (USA) Job at Trexquant Investment, Stamford, CT

eWg5Z3lHNk96NmpxekVyMU1UcjNOcU5iL2c9PQ==
  • Trexquant Investment
  • Stamford, CT

Job Description

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.

Requirements

  • 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.

Benefits

  • Competitive salary, plus bonus based on individual and company performance.
  • Collaborative, casual, and friendly work environment while solving the hardest problems in the financial markets.
  • PPO Health, dental and vision insurance premiums fully covered for you and your dependents.
  • Pre-Tax Commuter Benefits – making your commute smoother.

Trexquant is an Equal Opportunity Employer

Job Tags

Full time, Casual work,

Similar Jobs

Sanhe Lingchao Creative Art Workshop

art therapist Job at Sanhe Lingchao Creative Art Workshop

1. Artistic skills: Art therapists need to have certain artistic skills, including painting, sculpture, music, dance, etc. Requires an understanding of the techniques and characteristics of various art forms in order to be able to guide others in their creation.2. Psychological... 

Concentra

Spine Surgeon Independent 1099 Job at Concentra

 ...during the interview process. Concentra, one of the largest health care companies in the nation, is looking for an orthopedic spine surgeon to come on site to our location as a 1099 independent contractor. This role is a contract position and is meant to compliment... 

PwC

Financial Markets & Real Estate - RE, Senior Manager Save for Later Remove job Job at PwC

 ...specialise in providing consulting services related to financial management and strategy. These individuals analyse client needs, develop...  ...Quantitative Statistics, Financial Engineering, Economics, Real Estate Finance or Hospitality; State Licensed Appraiser License,... 

DBD Staffing

CCTV Truck Operator - Underground Utility Construction Job at DBD Staffing

 ...CCTV Truck Operator Underground Utility Construction Our Client, a well-established, family-owned underground utilities construction company, is seeking an experienced, self-motivated, and detailed oriented CCTV (Closed Circuit Television) Truck Operator to join... 

Stanley Black and Decker

Senior iOS Developer Job at Stanley Black and Decker

**Sr. IOS Developer** **- Construction Technology****Addison, Illinois United States****Come make the world and accelerate your success....  ...* , you'll be part of our Tools and Outdoor team working as a Remote employee. We are seeking a skilled Senior Software Engineer with...