About the Role

We are seeking a detail-oriented, proactive and motivated Associate to join our Compliance Reporting team. The successful candidate will play a key role in supporting AQR’s Compliance department by preparing well-written, timely, and accurate responses to Requests for Proposals (RFPs), Due Diligence Questionnaires (DDQs), and ad-hoc client information requests from clients and prospects.

Key Responsibilities

• Draft and submit responses to RFPs, DDQs and ad-hoc requests covering multiple investment strategies and products.
• Maintain and update standard responses in the firm’s centralized content library.
• Coordinate with internal teams, including Compliance, Legal, Business Development, Risk and others to source and verify proposed responses to client questions.
• Track and manage a high volume of requests simultaneously, ensuring deadlines are met, completed responses are properly maintained, and quality standards are upheld.

Qualifications

• Bachelor’s degree required.
• Two to four years of related experience in RFP/DDQ reporting [or other 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 Responsive (formerly RFPIO) preferred but not required.

About AQR Capital Management

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, 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.

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 analyzes and visualizes data to monitor the activities of the organization and give advice to other functions. It is also mandated with ensuring AQR complies with all relevant regulatory and industry rules and regulations.  

We are currently seeking an exceptionally talented individual with five to seven years’ with experience with regulatory reporting, including derivatives transaction reporting, preferably with an investment manager, broker-dealer, or fund administrator, to join our Compliance Department.

Your Role

• Assist in the preparation and submission of all regulatory reports filed on behalf of the firm.
• Coordinate collecting and synthesizing data for various daily, weekly, monthly, quarterly, and annual reports to U.S. and foreign regulators and departments, such as the SEC, CFTC, NFA, U.S. Treasury, Bureau of Economic Analysis, as well the UK’s FCA, Germany’s BaFin, Italy’s CONSOB, and various others.
• Develop and document internal processes and procedures related to the firm’s various current and future filing obligations.
• Keep abreast of global regulatory developments, particularly in the U.S., Asia, and Europe, and apprise other departments and groups of applicable requirements by researching regulatory and filing rules and writing and communicating guidelines and while becoming a part of a strategic solution for process and control modifications within the firm.
• Develop and enhance processes to collect and synthesize data to review and reconcile transaction reporting data related to EMIR, SFTR, and Australia’s OTC Derivatives Reporting Regime.

What You’ll Bring

• An undergraduate degree with a focus in Accounting, Finance or Computer Science
• Preferred experience with major shareholder / disclosure of interest filings, Section 13, the EU Short Sale Rule, Treasury International Capital (TIC) reports, and/or EMIR, SFTR, and Australia’s OTC Derivatives Reporting Regime
• Demonstrated ability to improve processes, create efficiencies
• High proficiency in Excel and Bloomberg
• Knowledge of complex financial derivatives
• Experience with SQL or Python is a plus

Who You Are

• Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines with limited supervision and exercise sound judgment.
• A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.
• Well-organized and detail-oriented.
• Able to focus on details and their interaction, while keeping in mind the bigger picture.
• Excellent oral and written communication skills; must be able to confidently collaborate with senior management and various departments within the firm.

The salary range for this role is expected to be $150,000 to $180,000.  This is the range that we in good faith believe is accurate for this role at the time of this posting.  We may ultimately pay more or less than the posted range, depending upon factors such as skills, experience, location, or other business and organizational needs.  This wage range may also be modified in the future.

This job is also eligible for an annual discretionary bonus.

We offer comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, benefits, or any other form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law.

AQR is an Equal Opportunity Employer. EEO/VET/DISABILITY

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.

Your Role

• Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client-facing material, client reports, research papers, webisodes, and social media content.
• Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, ESMA, FCA and non-US regulatory regimes) and internal firm policies.
• Apply expertise in the review of complex presentations, including hypothetical and back-tested performance, reviewing for regulatory compliance.
• Provide proactive, clear, and solution-oriented guidance to business development and investment professionals regarding compliant advertising and performance reporting practices.
• Interpret and communicate about relevant regulatory rules and developments, translating them into actionable compliance and business guidance.
• Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant rulemaking initiatives, risk alerts and other regulatory matters.
• Assist with the implementation of new policies and procedures as well as with updating existing policies and procedures.
• Provide training and informational tools to relevant staff on compliance policies and procedures and regulatory requirements.

What You’ll Bring

• Bachelor's degree
• 3-5 years minimum experience reviewing marketing material, preferably with an investment adviser or broker-dealer
• Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, ESMA, FCA and non-US regulatory regimes and any other applicable rules, regulations, and interpretive guidance
• Well organized, strong communication skills, detail-oriented and responsive
• Ability to provide accurate, direct and practical advice in a timely fashion
• Proactive time management skills and the ability to manage projects independently
• Hard working, team oriented, able to handle tight deadlines and eager to learn in a highly intellectual, collaborative environment

Who You Are

• Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment
• Excellent oral and written communication skills; must be able to confidently collaborate with various departments within the firm
• A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment

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.

About AQR Capital Management

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, 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.

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 analyzes and visualizes data to monitor the activities of the organization and give advice to other functions. It is also mandated with ensuring AQR complies with all relevant regulatory and industry rules and regulations.  

The Compliance group is broken down into various functional teams each with a unique set of responsibilities. The group has a mix of professional backgrounds including both financial professionals and lawyers with a mix of quantitative, technical, programming, and legal analysis skills. 

Your Role

• Conduct legal and compliance reviews of data providers and artificial intelligence tools
• Draft and maintain compliance policies and procedures relating to data and AI use
• Interface with data, research and engineering teams
• Monitor regulatory developments and advise relevant stakeholders
• Support governance and control processes

What You’ll Bring

• J.D. degree required
• 3-5 years legal/compliance experience in the financial services industry; law firm or prior regulatory experience a plus
• Experience with data licensing, AI/data governance, and securities regulation
• Excellent oral and written communication skills; must be able to confidently collaborate with management and various departments within the firm 

Who You Are

• Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment 
• Strong organizational skills, close attention to detail and the ability to keep thorough and precise records 
• A self-starter with the ability to work independently and with a sense of urgency 
• Exceptional analytical and problem-solving skills 
• Hard working and eager to learn in a highly intellectual, collaborative environment 

The salary range for this role is expected to be $190,000 to $200,000.  This is the range that we in good faith believe is accurate for this role at the time of this posting.  We may ultimately pay more or less than the posted range, depending upon factors such as skills, experience, location, or other business and organizational needs.  This wage range may also be modified in the future.

This job is also eligible for an annual discretionary bonus.

We offer comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, benefits, or any other form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law.

AQR is an Equal Opportunity Employer. EEO/VET/DISABILITY