Senior Compliance Officer

A global trading firm is seeking a seasoned compliance professional with deep expertise in trading across listed equities, options, and futures to join their high-performing compliance team. In this role, you'll serve as the primary compliance advisor for a specific business unit, offering strategic guidance to ensure adherence to regulatory standards while enabling business growth across new and growing business lines.

Key Responsibilities:

• Lead the preparation and coordination of responses to inquiries and investigations from regulatory bodies and exchanges.
• Support the execution of regulatory audits and examinations.
• Maintain and enhance internal compliance protocols and supervisory documentation.
• Design and optimize exception monitoring tools tailored to internal needs.
• Oversee trade surveillance activities, focusing on obligations such as market making and detecting potential market abuse.
• Analyze proposed regulatory changes and assess their relevance to the business.
• Deliver training sessions and distribute compliance communications to promote awareness and best practices.
• Collaborate closely with teams across trading, technology, and operations.
• Provide compliance input on new product launches and strategic initiatives.

Responsibilities:

• Bachelor's degree required; JD or equivalent legal education is a plus.
• Minimum of 8 years in a compliance role supporting active trading operations.
• FINRA Series 57 and 24 licenses are preferred.
• Proven ability to manage multiple priorities in a dynamic, high-speed environment.
• Strong analytical mindset with a proactive approach to identifying and mitigating compliance risks.
• Deep familiarity with electronic trading platforms and regulatory frameworks governing options and futures.
• In-depth knowledge of rules and regulations from the SEC, FINRA, CFTC, and other regulatory organizations.
• Excellent communication skills and the ability to build strong relationships with internal and external stakeholders.