Compliance Officer
📋 Role Overview & Responsibilities
Prop Trading firm in New York City is looking for a permanent Compliance Associate/ Officer!
Responsibilities
The ideal candidate will be professional, analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and industry’s principles.Continually improve Compliance Program for relevant entity by utilizing applicable regulations, risk management techniques, and business area knowledge to maintain and test relevant policies and procedures that comprise the compliance program.Identify and react to changes in regulatory requirements impacting the broker/dealer.Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Finds, interprets and implements directives and/or regulation that impact(s) the current compliance environment.Execute on our broker-dealer compliance functions.Work with the broker-dealer Operations and Trading teams to ensure regulatory compliance with applicable rules and regulations.Complete the annual review of the broker-dealer’s compliance.Manage broker-dealer core compliance obligations, including, registration processes, continuing education, annual training.Update written supervisory procedures and draft desktop procedures for broker-dealer functions.
Qualifications
Must have 4+ years experience working in a trade or market surveillance Compliance position.Bachelor's Degree
Frequently Asked Questions
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This position is located in New York City Metropolitan Area with potential relocation and sponsorship assistance depending on candidate qualifications.
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