Job Description

A proprietary trading firm specialized in electronic option market making is seeking a Chief Compliance Officer to lead and oversee all compliance operations. The firm is focused on scaling and automating trading strategies with a diverse team of traders, developers, and researchers. The culture emphasizes data-driven decision-making, innovative problem-solving, continuous learning, transparency, and collaboration.

What you’ll do

• Oversee trading activity to ensure compliance with federal securities laws, FINRA regulations, and internal risk policies.
• Serve as a trusted compliance partner to internal teams by offering regulatory guidance and interpreting relevant laws, rules, and exchange requirements.
• Draft, review, and implement internal compliance policies, with a strong focus on those governing trading activity.
• Conduct ongoing reviews of trading patterns and prepare reports highlighting compliance concerns or emerging risks.
• Cultivate productive relationships with regulatory bodies and other external stakeholders.

Qualifications and skills

• Previous experience (1–4 years) in a compliance or regulatory role at an options market maker, bank, broker-dealer, or similarly regulated financial institution.
• BS/MS/BA degree in Finance, Accounting, Business, Law, or a related field.
• Series 24 license, or willingness to acquire it in an expedited manner.
• Familiarity with SEC and FINRA rules and regulations, especially 15c3-5, trading activity, and trade reporting.
• Hands-on experience with compliance technologies, including trade surveillance tools and regulatory reporting systems.
• Strong analytical skills with the ability to work effectively in a cross-functional environment.

Job Tags

Similar Jobs