A top tier financial services firm is looking to add a Compliance Officer to their team. The ideal candidate is innovative, analytical, and solution oriented. The Compliance Officer will develop and perform surveillance reviews, drive compliance initiatives, and work with the rest of the team to drive the firm's overall compliance function. This role is ideally full time in office in NYC, but a hybrid model can be considered for the right candidate.
Requirements
- 3 - 7 years' relevant compliance experience
- Previous Surveillance experience required
- Knowledge of SEC, CFTC & SRO rules and regulations
- Familiarity with equities, options, fixed income, commodities, futures, fx, swaps, crypto currencies a plus