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Compliance Officer, Regulatory

Compliance Officer role at Flow Traders in New York.
Flow Traders
On-Site
United States
USD 112,000 - 140,000
Job Description
Flow Traders is seeking a Compliance Officer to join its Compliance team in New York. The ideal candidate should be process-oriented, an effective communicator, and passionate about financial markets. This role offers a unique opportunity to join a leading proprietary trading firm with an entrepreneurial and innovative culture.

What this role involves:
  • Monitoring regulatory updates and implementing changes into the WSP and internal control procedures.
  • Providing compliance advisory support to business units on market rules, practices, and compliance risks.
  • Performing daily monitoring controls related to regulatory obligations.
  • Developing, documenting, and maintaining the Written Supervisory Procedures and Compliance Manual (WSP).
  • Assisting in the oversight of the firm's regulatory reporting obligations (CAT, CAIS, TRF, TRACE, MSRB).
  • Drafting responses to regulatory inquiries and exams.
  • Leveraging technology and third-party solutions to automate compliance processes.
  • Providing timely guidance to external/internal stakeholders for new business projects.
  • Collaborating across the Firm to manage the retention of regulatory books and records.

Requirements:
  • 2-5 years of relevant working experience in regulatory, compliance, or legal department.
  • Undergraduate degree in Finance, Economics, Business, Law, or related field.
  • Working knowledge of FINRA and SEC rules.
  • In-depth familiarity with trading across regulated products.
  • Strong communication and interpersonal skills.
  • Self-motivated with a strong analytical and problem-solving mentality.
  • Series 7 license or willingness to obtain it shortly after joining.
  • Working proficiency in Excel, SQL, and/or Python.

What Flow Traders offers:
  • A total compensation includes a base range plus annual discretionary variable remuneration.
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Flow Traders

Flow Traders is a leading proprietary trading firm recognized for its entrepreneurial and innovative culture. The company thrives on quick-witted and creative minds, challenging employees to maximize their potential. Operating at the heart of the financial markets, Flow Traders values individuals with a strong sense of ownership and the ability to adapt quickly in a fast-paced environment.

All Jobs at Flow Traders (49)