Our client, a global quantitative trading firm, is looking to add a compliance officer to support their Chief Compliance Officer to their already growing team.
- Partner with the firm's Chief Compliance Officer in overseeing the full compliance program.
- Provide compliance advice to key stakeholders within the organization.
- Stay up to date on SEC, FINRA, CFTC and other relevant regulations.
- Implement risk assessments and facilitate regulatory examinations.
- Drafting internal policies and procedures.
- Coverage of the compliance trading program to trading desks which include US Options
Requirements
- 5+ years of compliance experience working with a financial services firm, bank, or market maker.
- Experience with relevant regulatory frameworks such as FINRA, SEC, and CFTC.
- Experience working directly with key business stakeholders.