Electronic Trading BD Senior Compliance Officer

  • Location: New York, NY
  • Type: Perm (Contingency)
  • Job #34829
  • Salary: $175,000

Job Overview – Compliance Officer
We are seeking a Compliance Officer specializing in Electronic Trading to join our client's team. As a Compliance Officer, you will be playing a pivotal role in ensuring regulatory compliance within trading activities. If you have a strong grasp of financial regulations and a keen eye for identifying potential compliance issues, we invite you to apply.

Compensation: $175.000.00 – $225,000.00 + bonus
Location: New York City

Responsibilities as the Compliance Officer include:

  • Monitoring and analyzing trading activities to detect and prevent potential violations
  • Conducting in-depth reviews of trade data and records to ensure adherence to regulatory requirements
  • Collaborating with traders and other stakeholders to address compliance concerns and providing guidance
  • Developing and maintaining surveillance programs and methodologies to stay ahead of emerging risks
  • Preparing and submitting regulatory reports and filings in a timely manner
  • Staying informed about changes in financial regulations and updating compliance policies accordingly
  • Assisting in the development and delivery of compliance training programs
  • Investigating and reporting on suspicious or unusual trading patterns
  • Contributing to the development and enhancement of compliance procedures and controls
  • Participating in internal and external audits and examinations

Qualifications as the Compliance Officer include:

  • Bachelor's degree in finance, law, or a related field
  • Knowledge of financial regulations and industry best practices, with a focus on trading compliance
  • Strong analytical skills and attention to detail
  • Excellent communication and interpersonal skills
  • Ability to work independently and collaboratively in a fast-paced environment
  • Experience with trading surveillance software and tools is a plus
  • Familiarity with regulatory reporting requirements
  • Integrity and a commitment to upholding ethical standards in financial activities

Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.

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Job ID: 34829