Compliance Officer | Enterprise Core Team

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Job Description

Primary Responsibilities:
  • Performing a variety of activities to facilitate and monitor compliance with Citadel’s Code of Conduct and other core compliance policies such as personal trading, gifts and entertainment, political contributions, and anti-money laundering.
  • Reviewing employee disclosures and reports to identify potential conflicts of interest and determine appropriate resolutions.
  • Serving as day-to-day lead for general compliance inquiries from employees across the Company.
  • Assisting CCO with regulatory filings (e.g. ADV, PF, Section 13, CPO-PQR, TIC, BEA), examinations, and routine requests from regulators, exchanges and agencies.
  • Monitoring compliance with applicable federal securities laws, including reviewing new guidance or regulations to assess the impact on the Company.
  • Ensuring compliance with internal control requirements.
  • Preparing reports and analyses for senior management, including trend analyses and commentary on key statistics.
  • Diagnosing issues and escalations in real time and communicating synthesized analysis to CCO.
  • Regularly assessing the adequacy and effectiveness of Citadel’s policies and procedures.
  • Proactively determining ways to optimize, improve and automate compliance processes.

Required Skills

Qualifications:
  • 3+ years in the financial services sector, preferably in a compliance role.
  • Ethical and principled with impeccable integrity.
  • Great people skills and ability to communicate and cooperate up, down, and across the employee chain.
  • Excellent analytical skills and exacting eye for detail.
  • Demonstrated interest in process design and automation.
  • Flexible and adaptive with capacity to thrive in a dynamic work environment.
  • Enjoys team collaboration but is able to work autonomously and with limited oversight.
  • Proficiency with databases, Tableau and Excel.
Education: Bachelor’s Degree from a top tier university.

About Citadel

Citadel is a global investment firm built around world-class talent, sound risk management, and innovative leading-edge technology. For a quarter of a century, Citadel’s hedge funds have delivered meaningful and measurable results to top-tier investors around the world, including sovereign wealth funds, public institutions, corporate pensions, endowments and foundations.

With an unparalleled ability to identify and execute on great ideas, Citadel’s team of more than 675 investment professionals, operating from offices including Chicago, New York,  San Francisco, London, Hong Kong and Shanghai, deploy capital across all major asset classes, in all major financial markets.