Compliance Officer
A global, technology driven financial firm is seeking a Compliance Officer to support its legal and compliance program across multiple trading and operational teams. This role is ideal for someone who enjoys solving problems, working with data, and improving processes in a fast paced markets environment. The Compliance Officer will report to the Chief Compliance Officer onsite in NYC.
Key Responsibilities
- Develop and update policies and procedures across various business areas
- Support global compliance initiatives, with a focus on AML monitoring and investigations
- Partner with trading, technology, and operations teams to identify issues and drive remediation
- Contribute to automation, efficiency projects, and trend analysis within the compliance function
Qualifications
- 3-7 years of experience in financial services, FinTech, or a regulatory environment
- Strong understanding of broker dealer and market regulations (e.g., SEC, CFTC, SRO rules)
- Experience reviewing and analyzing trading activity across multiple asset classes (options, equities, commodities, FX, crypto etc)
- Background in AML reviews or investigations
- Strong communication skills and comfort working independently and collaboratively
- Familiarity with SQL or Python is helpful but not required
- CAMS certification is a plus
Even if you do not possess all the preferred qualifications, apply in!
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