Senior Compliance Officer

This is a fully remote position, open to applicants in New York.

📋 Description

• Assume complete responsibility for global compliance concerning commodities, rates, equity futures, options on futures, and equities.

• Offer real-time trading support across all asset classes and trading venues.

• Develop and uphold a pre-approved rules framework for frequent desk inquiries.

• Consult with development, trading, and operations teams on compliant tools and processes.

• Create and sustain an algorithmic trading governance framework that encompasses pre-deployment approvals, ongoing monitoring, change management, business continuity, information security, and annual reviews.

• Manage approvals for new markets and products.

• Oversee trade surveillance across all venues.

• Handle regulatory and exchange affairs, which include filings, registrations, inquiries from regulators and exchanges, client due diligence reviews, and FCM interactions.

• Maintain the policy framework and conduct the training program across all regions.

• Supervise AML and sanctions screening of vendors and counterparties.

• Mentor and manage two Compliance Officers.

• Act as a representative for compliance in cross-functional discussions involving risk, development, and front office teams.

• Serve as the escalation point for non-standard compliance issues.

⛳️ Requirements

• Practical experience in developing compliance tools and systems, beyond just policy and procedural work.

• Direct experience in a compliance position at a proprietary trading firm, market maker, electronic trading venue, or trading desk.

• Proficiency across commodities, rates, equity futures, options on futures, and equities.

• Working knowledge of algorithmic trading controls and governance frameworks.

• Familiarity with multi-venue regulatory obligations in at least two of the following: US (CFTC/NFA), EU (MiFID II), India (SEBI), UK (FCA).

• Understanding of AML, recordkeeping, whistleblowing, and conflict of interest policies.

• Capability to write, implement, and maintain compliance policies and procedures.

• Ability to provide timely, well-reasoned guidance while maintaining independence as a control function.

• Strong written communication skills for drafting policies, procedures, and regulatory correspondence.

• Experience with equities compliance frameworks such as Reg SHO, short selling regimes, and locate obligations (preferred).

• Knowledge of exchange membership obligations including ICE, CME, LME, and NSE (preferred).

• Familiarity with position-limit regimes across various venues (preferred).

• Exposure to Chinese exchange connectivity (CTP) (preferred).

• Background in trade surveillance systems and alert management (preferred).

• Experience in building compliance frameworks from the ground up (preferred).

• Experience in automating AML/sanctions screening workflows (preferred).

🏝️ Benefits

• Enjoy the flexibility of working remotely from anywhere in the world with a customizable schedule.

• Health insurance compensation.

• Compensation for sports activities.

• Compensation for non-professional training.

• Opportunities for professional development and personal growth.

• Collaborate with industry-leading professionals.

• Be part of a modern international technology company without bureaucratic constraints.