Job Information
Trexquant Investment Chief Compliance Officer (USA) in Stamford, Connecticut
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.