Compliance - Compliance Testing - Associate
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About AQR Capital India
AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking past market noise to identify and isolate the factors that matter most, and by developing ideas that stand up to rigorous testing. By putting theory into practice, we have become a leader in alternative strategies and an innovator in traditional portfolio management since 1998.
At AQR India, our employees share a common spirit of academic excellence, intellectual honesty and an unwavering commitment to seeking the truth. We’re determined to know what makes financial markets tick – and we’ll ask every question and challenge every assumption. We recognize and respect the power of collaboration, and believe transparency and openness to new ideas leads to innovation.
We are currently seeking a detail oriented and analytical individual with three to five years of Compliance experience and strong organization, control testing, and writing skills to join our Compliance Department.
Your Role
- Provide support for compliance testing, including the annual compliance reviews conducted pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act, and other regulatory-related requirements, including:
- Coordinate with internal teams about requests for information/documentation,
- Perform preliminary reviews and analyses of information/documentation, and
- Maintain organizational framework, including tracking status of requests, document submission, review and approval process, etc.
- Assist with ad hoc projects
What You’ll Bring
A BA or BS and a minimum of three to five years of experience in a financial services Compliance role, preferably in a control testing, monitoring, or internal audit function for an Investment Adviser or Registered Investment Company
Knowledge of the U.S. federal securities and commodities laws, rules and regulations including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Commodity Exchange Act.
Ability to work independently as well as within a team
Who You Are
Intelligent, energetic and goal-oriented with the ability to manage multiple tasks simultaneously, meet deadlines, and exercise sound judgment
Excellent oral and written communication skills; must be able to confidently collaborate with various departments across the firm
Organized and detail oriented
Proficient in Microsoft Office suite
A self-starter with the ability to see tasks through to completion in a highly intellectual and collaborative environment
Requirements
- A BA or BS and a minimum of three to five years of experience in a financial services Compliance role, preferably in a control testing, monitoring, or internal audit function for an Investment Adviser or Registered Investment Company
- Knowledge of the U.S. federal securities and commodities laws, rules and regulations including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Commodity Exchange Act.
- Ability to work independently as well as within a team
- Intelligent, energetic and goal-oriented with the ability to manage multiple tasks simultaneously, meet deadlines, and exercise sound judgment
- Excellent oral and written communication skills; must be able to confidently collaborate with various departments across the firm
- Organized and detail oriented
- Proficient in Microsoft Office suite
- A self-starter with the ability to see tasks through to completion in a highly intellectual and collaborative environment
About AQR Capital Management
Private quantitative investment manager serving institutional and individual investors through alternative and long-only strategies.
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