Vista previa generada por IA
Seeking junior compliance associate to support AQR's Business Conduct Manual and ethics policies.
Role involves code of ethics administration, broker statement reviews, and onboarding at a leading investment firm.
About AQR Capital Management
AQR is a global investment management firm built at the intersection of financial theory and practical application. We strive to deliver superior, long-term results for our clients by seeking to filter out market noise to identify and isolate what matters most, and by developing ideas that stand up to rigorous testing. Underpinning this philosophy is an unrelenting commitment to excellence in technology — powering our insights and analysis. This unique combination has made us leaders in alternative and traditional strategies since 1998.
AQR takes a systematic, research-driven approach, applying quantitative tools to process fundamental information and manage risk. Our clients include institutional investors, such as pension funds, insurance companies, endowments, foundations and sovereign wealth funds, as well as financial advisors.
The Team
The Compliance group is responsible for designing, implementing, monitoring, and testing AQR’s control environment. It is responsible for ensuring the firm is acting as a responsible fiduciary to our clients. It creates sets of policies and procedures that define how AQR operates its business. It is also mandated with ensuring AQR complies with all relevant regulatory and industry rules and regulations.
Your Role:
- Assist with the administration of the Firm’s Business Conduct Manual and Code of Ethics.
- Respond to employee requests regarding personal trading, gifts and entertainment, political and charitable contributions, and other topics.
- Responsible for reviews of broker statements and coordinating with firm-approved brokers regarding electronic feeds and other topics.
- New hire onboarding (including orientation, launching of certifications and training completion control).
- Assist with the maintenance, tracking and organization of Compliance Department records.
- Review employee Compliance certifications and disclosures.
- Assist with other tasks and responsibilities as required.
What You’ll Bring:
- Bachelor’s degree required.
- Two to four years of related experience in administration of Code of Ethics or related Compliance experience, ideally within financial services or investment management.
- Exceptional writing, editing, and project management skills, with strong attention to detail.
- Highly organized, with excellent time management abilities and the ability to prioritize and meet multiple deadlines while managing a high volume of communications.
- Demonstrated capacity to work independently as well as thrive within a collaborative, fast-paced team environment.
- Strong interpersonal and communication skills with the ability to work well with others across functions.
- A self-starter who takes ownership of responsibilities and sees tasks through to completion.
- Receptive to feedback and responsive to direction, with a commitment to continuous improvement.
- Prior experience with StarCompliance preferred but not required.