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        Analyst/Senior Analyst - Compliance

        Join our Financial Operations team in Hyderabad or Gurugram

        We are seeking an Analyst/Senior Analyst to work closely with a team of attorneys and compliance professionals to help ensure that the firm’s business activities are conducted in strict accordance with regulatory requirements based in our India offices (Hyderabad/Gurugram/ Bengaluru). This position affords the opportunity for broad exposure to the firm’s trading, operations, and software development groups, as well as the chance to handle real-time issues related to the firm’s expanding suite of global investment products in an agile, constantly evolving regulatory environment.

        What you’ll do day-to-day

        In this role, you will conduct investigations on various trade surveillance activities such as trade allocations/sequencing, market abuse practices, trade violations, and market surveillances majorly involving methods of front running, price ramping, wash trades, market price manipulation, cross market surveillances etc. and appropriately establish sufficient risk controls in each of these models. You will monitor human trading for potential trading while in possession of material non-public information. You will also monitor emails using lexical analysis to identify potential market abuse or violations of policy. Additionally, you will conduct a thorough analysis on the fundamental research data collected by the trading groups through their interactions with external industry experts/consultants around various market sectors to avoid potential trading while in possession of material non-public information. You will review reports relating to trading activities to assist the firm in meeting its regulatory obligations. You will also be implementing and enforcing policies and procedures, such as the firm’s Code of Ethics policies and Proxy Processes. Moreover, you will assist in filing regulatory obligations which require complex quantitative and qualitative analysis of the firm’s data. You will work on long-term projects with development and analytics teams to maintain the firm’s high standards of compliance with new and existing regulations. Additionally, you will work closely with members of Compliance across different offices to discuss the implementation of policies and procedures for underlying processes.

        Who we’re looking for

        • The candidate should have a Master’s degree in finance, along with 3 to 6 years of work experience in the financial services industry
        • Candidate should be self-motivated, with a result-oriented mindset, robust analytical and problem-solving skills, the ability to learn quickly, high attention to detail, and the capacity to meet tight deadlines
        • The ideal candidate should have excellent written and oral communication skills along with exceptional interpersonal skills
        • The candidate should have an understanding of securities regulations and financial instruments

        At the D. E. Shaw group, we believe the diversity of our employees is core to our strength and success. We are committed to supporting our people in work and in life, which is why we offer benefits such as a family planning and surrogacy program and a charitable gift match to all full-time employees.

        Additionally, our staff-led affinity groups are pillars of our community, helping to celebrate diversity, promote leadership and development opportunities, and facilitate inclusive mentorship. Members and allies organize a wide range of educational and social programming, from expert talks to film festivals.

        Candidates with relevant experience looking to restart their careers after a break are encouraged to apply for this position.

        The members of the D. E. Shaw group do not discriminate in employment matters on the basis of race, color, religion, gender, gender identity, pregnancy, national origin, age, military service eligibility, veteran status, sexual orientation, marital status, disability, caregiver status, or any other category protected by law. We are committed to the principles of diversity, equity, and inclusion, and are eager to hear from individuals having a wide range of backgrounds and personal characteristics.

        Candidates who are residents of California (any such candidate, a “California Resident”) should click here for our CCPA Recruitment Personal Information Privacy Notice.

        The D. E. Shaw group may collect, use, hold, transfer, and process candidates' resumes and associated information (including personal information contained therein) for purposes reasonably related to their application, including without limitation: review and management of employment applications and supporting materials; administration and management of offers to and communication with candidates; and administration, management, and improvement of the recruiting operations of the D. E. Shaw group; and/or where reasonably required in connection with a proposed sale, spin-out, reorganization, or outsourcing of all or some of the business of the D. E. Shaw group. The D. E. Shaw group will not use such information for purposes unrelated to the foregoing, such as direct marketing of third-party products to candidates, without candidate consent. As used herein, the term "personal information" is meant to broadly describe information identifying or relating to a specific individual; it is intended to encompass "personal data," "sensitive personal data," and "personally identifiable information" and similar terms, as those terms are defined by law in the jurisdictions in which the D. E. Shaw group operates.

        The D. E. Shaw group may transfer such personal information within and outside the country and jurisdiction of the locations where the D. E. Shaw group maintains offices, to other D. E. Shaw group affiliates, to government and regulatory authorities, and to third parties which provide or may provide support and/or services to the D. E. Shaw group and for the purposes set forth above. The persons who may have access to this personal information are other employees of the D. E. Shaw group, in connection with the performance of their duties of employment, and the other parties listed above, in connection with the business of the D. E. Shaw group. (Of course, candidates will be considered for employment opportunities only in those countries in which they express interest.)

        The D. E. Shaw group will use reasonable care to maintain the confidentiality of personal information (including appropriate technical measures against unauthorized or unlawful processing and against accidental loss or destruction of, or damage to, such information) and will retain such data as required by applicable law or regulation. Candidates have the right to request access to, and correction of, their personal information in accordance with applicable law; any such request should be submitted to [email protected]. Candidates who have submitted a resume to the D. E. Shaw group and do not wish to proceed with their applications should email [email protected]. Personal information of candidates who have been the subject of background checks may have been transferred in accordance with applicable regulations, and any concerns with such transfers should be submitted to [email protected].

        The D. E. Shaw group may retain candidates’ information for prospective recruiting activities, including sourcing candidates for employment opportunities and for organizing events with prospective candidates, in accordance with our internal data retention procedures. Candidates who do not agree to such future use should email [email protected].

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