Senior Compliance Officer
A global proprietary trading firm is seeking a Senior Compliance Officer to partner closely with the Chief Compliance Officer during a period of significant growth. The firm operates across exchange-traded products and leverages data-driven trading strategies in a fast-paced, technology-led environment. This role offers broad exposure to global regulatory requirements and is positioned to play a key role in enhancing and scaling the compliance framework. Rather than maintaining existing processes, the successful candidate will help design and implement a more robust, forward-looking compliance and governance structure across the business. The position combines advisory, oversight, and hands-on execution, with involvement in regulatory interaction, internal reviews, and firm-wide training initiatives.
Requirements
- 8+ years of compliance, legal, or regulatory experience within financial services (e.g., broker-dealer, trading firm, exchange, asset manager, or law firm)
- Strong knowledge of securities and derivatives regulations, with exposure to equities, futures, swaps, or similar products
- Experience supporting regulatory examinations, audits, and ongoing regulator engagement
- Proven ability to design or enhance compliance frameworks, policies, and supervisory processes
- Experience conducting internal reviews, risk assessments, and remediation planning
- Ability to interpret and advise on new and existing regulations impacting trading activities
- Strong communication skills, with the ability to act as a trusted advisor across the business
- Experience supporting compliance training programs and developing regulatory materials
- Strong organizational, project management, and prioritization skills
- Proficiency in Microsoft Office tools; familiarity with compliance systems and intranet/policy management preferred
- Relevant licenses (e.g., SIE, Series 7/24/57) preferred or willingness to obtain
- High level of ownership, judgement, and ability to operate in a growth-oriented, evolving environment
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