Compliance Officer

Flow Traders is looking for a Compliance Officer to join our Compliance team in New York. The ideal candidate is self-motivated with a strong analytical and problem-solving mentality. This is a unique opportunity to join a leading proprietary trading firm with an entrepreneurial and innovative culture at the heart of its business. We value quick-witted, creative minds and challenge them to make full use of their capacities. If you aim high, the sky is the limit!

This Compliance Officer will assist with core compliance controls, trading conduct reviews, surveillance, and automated controls. With a focus on Monitoring and Testing, this Compliance Officer will use their technical skills to design, develop, and implement controls across a variety of asset classes and jurisdictions, ensuring the Firm meets its regulatory obligations. This position offers exposure to each aspect of Flow Traders' business and an opportunity to learn how trading and markets interact with regulation and policy.

What you will do

• Leverage in-house technology and third-party solutions to automate compliance processes
• Write and test code to provide innovative solutions for monitoring and testing of compliance controls
• Perform daily monitoring controls related to regulatory obligations that are designed to mitigate various types of compliance and operational risk
• Assist in administering the broader employee compliance program, including- Employee Compliance Onboarding/Termination, Personal Trading, Outside Business Activities, Gifts & Entertainment, Political Contributions, Exchange Registrations, Social Media, Electronic Communications and Continuing Education Requirements
• Collaborate across the Firm to manage processes pursuant to regulatory and business requirements

What you need to succeed

• 1-3 years of relevant working experience in a trading-related environment and/or broker-dealer compliance
• Undergraduate degree in Finance, Economics, Business, Law or related
• Proficiency in Excel, VBA, SQL, and/or python
• Interest in SEC, FINRA, CFTC, NFA and exchange rules and applicability of the rules to employee and firm activities
• Familiarity with trading across ETFs, equities, futures, fixed income or digital assets
• Strong communication and interpersonal skills
• Motivated self-starter who can handle competing priorities and work effectively in a challenging, fast-paced environment
• Series 7 license or willingness to obtain it shortly after joining

At Flow Traders, we acknowledge the importance of open and transparent communication whether it be with our employees, our stakeholders, or our local and global communities. When it comes to salary, Flow Traders uses reliable market research to create base ranges. Where candidates will fall within the range depends on a few different factors including but not limited to level of experience, location, and specific skill set. We also consider ourselves one global team, and to demonstrate that, all employees are eligible to share in the company's success through an annual discretionary variable remuneration allocated based on company, group and individual performance and contribution.

Per NYC salary transparency law, the total compensation for this role includes a base range of $90,000 to $110,000 plus annual discretionary variable remuneration.

Flow Traders does not accept unsolicited resumes from any professional staffing or search firms. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.