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Compliance Officer, Regulatory
Flow Traders is looking for a Compliance Officer (Regulatory) to join our growing Compliance team in New York. The ideal candidate is process oriented, an effective communicator across teams and is passionate about the financial markets. 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.
About the Team
The Compliance Department at Flow Traders plays a central and very important role in managing the implementation, adherence to and enforcement of compliance with respect to internal rules at Flow Traders and regulations from governments, regulators and exchanges. The ideal candidate is proactive and driven to focus on continuous improvement of our enterprise compliance operations. 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
- Develop, document and maintain the Written Supervisory Procedures and Compliance Manual (WSP)
- Monitor regulatory updates and implement such changes, when applicable, into the WSP and internal control procedures
- Provide day-to-day compliance advisory support to business units on market rules, practices and/or compliance risks
- Perform daily monitoring controls related to regulatory obligations that are designed to mitigate various types of compliance and operational risk
- Assist with responding to regulatory inquiries and exams
- Leverage technology and third-party solutions to automate compliance processes
- Provide accurate advice on new and existing regulations and able to translate them into business requirements
- Provide timely guidance to external/ internal stakeholders for new businesses projects
- Collaborate across the Firm to manage the retention of regulatory books and records pursuant to regulatory and business requirements
What You Need to Succeed
- 1-5 years of relevant working experience in regulatory, compliance or legal department
- Undergraduate degree in Finance, Economics, Business, Law or related
- Working FINRA and SEC rules and applicability of the rules to employee and firm activities
- In-depth familiarity with trading across regulated products, experience in digital assets is a plus
- Strong communication and interpersonal skills
- Self - motivated with a strong analytical and problem-solving mentality
- Series 7 and 24 license or willingness to obtain them shortly after joining
- Working proficiency in Excel and VBA, experience in SQL and Python a plus
Recruitment Process
- Submit your resume.
- Behavioral interview with HR.
- Meet with members of the Compliance Team.
- Final round interview with the Global Head of Compliance.
*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 August 15th 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.
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 the NYC Salary Transparency Law, the total compensation for this role includes a base of $75,000 - $125,000 plus annual discretionary variable remuneration.
We like to think that talent grows at Flow and stays at Flow. To ensure this, we provide our employees with an extensive onboarding program, access to Flow Academy, the best working environment, the latest technology and continuous support. We go out of our way to retain the small business feeling with which we started and stimulate innovation and collaboration through teamwork and our non-hierarchical approach. In addition to salary and annual discretionary variable remuneration, we offer other fantastic perks and benefits, such as:
- Medical, Vision, Dental Insurance coverage with generous employer contributions up to 100% for medical
- 401k plan with generous match
- In-house lounge with a bar, game consoles, poker & billiards tables
- Daily catered lunch, cold brew coffee on tap and a fully stocked kitchen
- Bi-weekly table massages and haircuts
- Annual company trip and a variety of events throughout the year
- Reimbursed gym membership, home equipment and other wellness initiatives
- Global rotations between our offices worldwide
- Flow Academy for continuous learning and opportunities to attend industry seminars and conferences
- and more!
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.