Compliance Officer – Trade Surveillance
As a Compliance Officer, you will report to the Chief Compliance Officer and handle various tasks supporting the firm’s global compliance operations, focusing on securities and futures trade surveillances for all CTC trading affiliates globally. The ideal candidate will be self-motivated and use their experience, analytical skills, and intellectual curiosity to primarily accomplish the following:
What You’ll Do
Develop, refine, and apply proprietary and external surveillance rules related to market maker quote compliance and market abuse.
Define business requirements for proprietary and third-party (e.g., Eventus, Nasdaq SMARTS) surveillance system enhancements and work closely with technology teams to confirm technical requirements and drive enhancement efforts to completion.
Investigate surveillance alerts and escalate findings to the Chief Compliance Officer and the Director of European Compliance.
Supervise Compliance staff responsible for completing first level surveillance reviews.
Draft and update compliance written supervisory procedures related to trading compliance, including desktop procedures for Compliance staff.
Review and summarize proposed regulatory rules and guidance related to trading compliance for applicability.
Assist in the preparation of responses to formal investigations and other regulatory inquiries from various U.S. and European regulators, such as the SEC, FINRA, CME, FCA, EUREX, ICE, and other U.S. and European exchanges.
Liaise and communicate with various teams including trading, technology, and operations.
What We’re Looking For
Bachelor’s degree required.
Candidates should have at least 8 years of experience in a compliance function that directly supports a professional trading business, or at least 3 years in a compliance function that supports a professional trading business and 5 additional years in non-compliance roles in financial services.
Ability to manage and prioritize multiple ongoing projects in a fast-paced, high-performing trading environment.
Ability to regularly assess the efficiency of control systems and recommend effective improvements.
Demonstrate a high level of integrity.
Proactive approach to help identify regulatory risk for the firm.
Ability to operate effectively in a team environment.
Solid knowledge of electronic trading, emphasizing listed options and futures.
Extensive knowledge of SEC, FINRA, CFTC and U.S. exchange rules and regulations. Experience with European trading rules a plus.
Establish strong working relationships with exchanges, regulators and vendors.
Exceptional verbal and written communication skills.
Strong time management skills with an emphasis on follow-through and completion of projects.
Legal authorization to work in the U.S. is required. We will not sponsor individuals for employment authorization for this job opening.
Nice to Have
Series 3, 7, or 57.
Prior securities or commodities trading experience.
Compensation
The salary range for this role is listed below. This role is also eligible for an annual discretionary bonus. The discretionary bonus will be dependent upon the individual’s skills, experience, qualifications, and firm performance.
Salary Range
$150,000—$200,000 USD