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Compliance Officer
Flow Traders is looking for a Compliance Officer to join our AML & Monitoring team. In this role, you’ll work alongside Compliance team members on anti-money laundering, counterparty onboarding, and employee supervision matters. You’ll be responsible for onboarding counterparties and conducting initial and ongoing screenings using third party vendors.
You’ll also be an integral part of our team as we coordinate regulatory filings, respond to due diligence requests, open new exchange accounts, and establish custody and banking relationships. Additionally, you will assist with all day-to-day broker-dealer compliance functions related to employee compliance controls such as personal trading monitoring and electronic communications review. This is a unique opportunity to join a leading proprietary trading firm with an entrepreneurial and innovative culture at the heart of its business. We value quick-witted, creative minds and challenge them to make full use of their capacities. If you aim high, the sky is the limit!
The AML & Monitoring team is part of the Compliance department, which manages the implementation, adherence to and enforcement of compliance with the statutory and internal rules and regulations of Flow Traders. As a publicly listed company with a presence in the US, Europe and APAC, this position guarantees a profound exposure to a variety of financial regulatory areas.
What You Will Do
- Review and document all new and existing counterparty files (e.g., KYC, CIP, AML, OFAC, Worldcheck) and hold responsibility for maintaining counterparty databases (i.e., Salesforce)
- Monitor legal and regulatory requirements related to the Bank Secrecy Act, Patriot Act, OFAC regulations, and guidance from U.S. and foreign regulators
- Coordinate and provide responses related to external exams and Internal Audits
- Complete employee FINRA registration/termination filings (Form U4, U5, NRF) including any broker-dealer filing updates
- Administer the broader employee compliance program, including: Employee Compliance Onboarding/Termination, Personal Trading, Outside Business Activities, Gifts & Entertainment, Political Contributions, Platform Access Management, Social Media, Electronic Communications and Continuing Education Requirements
- Assist with the development, implementation, and dissemination of Written Supervisory Procedures to identify potential areas to strengthen the compliance program, including promoting the culture of compliance throughout the organization
- Assist the Global Head of Compliance and Counsel with other day-to-day functions and compliance projects, including shared ownership of global Compliance projects in which the Compliance department may participate
What You Need to Succeed
- 1 to 3 years of relevant experience in AML/KYC and / or broker-dealer compliance
- Undergraduate Degree in Finance, Economics, or Business
- Mature, professional and of unquestionable integrity, carrying out excellent judgment when handling sensitive information.
- Enjoy working with paperwork and people, with strong interpersonal skills who is able to answer questions and explain processes clearly to both a wide range of colleagues across the firm and external parties
- Familiarity with third party vendors such as WorldCheck, ComplianceAlpha, Salesforce, Smarsh/Socialite, or Microsoft Purview
- Proficiency in Excel, VBA and/or SQL a plus
- Strong organizational skills with a high attention to detail
- Process based approach to problem-solving and creating informed and concrete proposals
- Motivated self-starter who can handle competing priorities and work effectively in a challenging, fast-paced environment
What We Offer
At Flow Traders, we acknowledge the importance of open and transparent communication whether it be with our employees, our stakeholders, or our local and global communities.
When it comes to salary, Flow Traders uses reliable market research to create base ranges. Where candidates will fall within the range depends on a few different factors including but not limited to level of experience, location, and specific skill set.
We also consider ourselves one global team, and to demonstrate that, all employees are eligible to share in the company’s success through an annual discretionary variable remuneration allocated based on company, group and individual performance and contribution.
Per NYC salary transparency law, the total compensation for this role includes a base of $75,000 to $85,000 plus annual discretionary variable remuneration.
*Please note that the recruitment process will take place virtually or in person, but this position will be required to report in-person at our New York office.
Where permitted by applicable law, all new hires as of 15 August 2021, will be required to provide proof of COVID-19 vaccination. Accommodations related to this requirement will be available for individuals unable to be vaccinated due to a medical condition or sincerely held religious belief.
Flow Traders does not accept unsolicited resumes from any professional staffing or search firms. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.