Senior Compliance Officer

Advisory compliance primary owner all regions

• Real-time trading guidance across all asset classes and venues
• Building and maintaining a pre-cleared rules framework for recurring desk queries
• Advising development trading and operations teams on building and maintaining compliant tools and processes
• Building out a comprehensive algo trading governance framework covering the full lifecycle pre-deployment approvals ongoing monitoring change management business continuity information security and annual review
• New market and product approvals

Core compliance oversee two Compliance Officers responsible for:

• Trade surveillance across all venues
• Regulatory and exchange affairs filings registrations regulator and exchange inquiries client/due-diligence reviews FCM interface
• Policies and training maintaining the policy framework and running the training program across all regions
• AML and sanctions screening vendors and counterparties (brokers FCMs)

Leadership

• Supervising and developing two Compliance Officers
• Representing compliance in cross-functional discussions with risk development and front office
• Escalation point for non-routine compliance matters

Qualifications :

• Hands-on experience building compliance tools and systems not only policy and procedure work
• Direct experience in a compliance role at a proprietary trading firm market maker electronic trading venue or trading desk
• Experience across multiple asset classes commodities rates equity futures options on futures and equities
• Working knowledge of algo trading controls and governance frameworks
• Familiarity with multi-venue regulatory obligations across at least two of: US (CFTC/NFA) EU (MiFID II) India (SEBI) UK (FCA)
• Knowledge of core compliance policies AML recordkeeping whistleblowing conflicts of interest and ability to write implement and maintain policies and procedures around them
• Ability to deliver timely well-reasoned guidance while maintaining independence as a control function
• Strong written communication for policies procedures and regulatory correspondence

Nice to have

• Experience with equities compliance frameworks Reg SHO short selling regimes locate obligations
• Experience with exchange membership obligations (ICE CME LME NSE)
• Familiarity with position-limit regimes across multiple venues
• Exposure to Chinese exchange connectivity (CTP)
• Background in trade surveillance systems and alert handling
• Experience building compliance frameworks from scratch
• Experience automating AML/sanctions screening workflows

Additional Information :

What we offer:

• Experience a modern international technology company without the burden of bureaucracy.
• Collaborate with industry-leading professionals including former employees of Tower DRW Broadridge Credit Suisse and more.
• Enjoy excellent opportunities for professional growth and self-realization.
• Work remotely from anywhere in the world with a flexible schedule.
• Receive compensation for health insurance sports activities and non-professional training.

Remote Work :

Yes

Employment Type :

Full-time