Compliance Control Room Manager/Specialist (New York)

The D. E. Shaw group seeks a Control Room Manager or Specialist to work closely with the firm’s Chief Compliance Officer and other compliance professionals to maintain the firm’s policies and procedures regarding the treatment of confidential information, particularly within the context of Rule 10b-5 under the Securities Exchange Act of 1934.  The position requires regular interaction with senior management and proprietary trading staff, and involves a wide array of responsibilities, including: educating staff on and maintaining relevant policies and procedures; reviewing potential transactions for conflicts; managing the firm’s restricted list; and identifying regulatory issues.  Knowledge of the Securities Exchange Act of 1934 is essential.  Familiarity with the Securities Act of 1933 and the treatment of confidential information in foreign jurisdictions is a strong plus.

Candidates must have at least three years of compliance or regulatory experience at an asset management firm, investment adviser, hedge fund manager, broker dealer, or investment bank.  The ideal candidate will have a strong knowledge of financial markets and exceptional analytical abilities.  Excellent communication and interpersonal skills, an obsessive regard for detail, and the ability to identify and analyze complex regulatory, compliance, and business issues in a fast-paced and rapidly changing business environment are essential.  We are eager to add both senior- and junior-level candidates to our Compliance department, and are prepared to offer extremely attractive compensation packages to candidates of truly exceptional ability.  BS or BA is required; J.D. or MBA is a plus.

To apply, please send a cover letter and resume to Monster- CompControlRoom@career.deshaw.com

The D. E. Shaw group is a New York-based global investment and technology development firm with approximately $39 billion in aggregate capital (as of July 1, 2008), an international reputation for financial innovation and technological leadership, and offices in North America, Europe, and Asia.Members of the D. E. Shaw group do not discriminate in employment matters on the basis of race, color, religion, gender, pregnancy, national origin, age, military service eligibility, veteran status, sexual orientation, marital status, disability, or any other protected class.