Chief Compliance Officer

New York, NY

Reports to: CEO

A leading Prop Trading Firm & Broker Dealer is seeking a Compliance Officer to oversee the Trading activities and manage Firm Risk and Regulatory Compliance. 

Qualifications

• Must have experience with equities trading and trade reporting.
• Must be fluent in all equities trading rules as well as be aware of the regulatory environment.
• 5+ year’s compliance experience (preferably in a trading firm).
• Must possess series 7, 24, and 63 licenses (Series 27 and/or Series 14 a plus).
• Experience with all aspects of Broker/Dealer compliance.

Responsibilities Include

• Real time monitoring, advice and support to the firm’s trading desk.
• Advice to the traders on regulatory requirements.
• Activity monitoring and exception reporting.
• Educate trading personnel on compliance procedures and new regulations.
• Manage and amend the firm’s “Written Supervisory Procedures” as and when necessary to conform to new business requirements and regulations.
• AML experience required.
• Research and provide guidance on new trading proposals and trading styles.
• Work with regulators on regulatory exams and taking care of routine regulatory inquiries.
• Should be able to work independently.
• Must possess exceptional written and verbal communication skills.
• Strong interpersonal skills.
• Project management experience.