An international trading firm is seeking a US Regulatory Compliance Officer to manage the compliance program for their US business, working closely with the COO, international leadership, and the Chief Compliance Officer. An ideal candidate will be well-rounded in handling a diverse slate of regulatory challenges, including a focus on electronic trading within equities and options. The role will encompass regulatory exam management, filings, training, surveillance, and compliance advisory working directly with the business. Experience with FINRA, SEC, and US exchanges is a must.
Requirements:
- 3-7+ years of experience working within compliance for financial services
- Experience with broker-dealer, electronic trading, and/or exchanges a plus
- Comfort interfacing with leadership and various functions such as Legal, Risk, IT, and Operations
- Series 7, 24 a plus
- Interest in scaling a compliance program
