Compliance Officer
Posted on :
08-03-2025
Employer Active
1 Vacancy
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Job Description
- Develop and implement electronic trading compliance policies and procedures to ensure adherence to regulatory requirements.
- Monitor trading activities to ensure compliance with relevant regulations and internal standards.
- Collaborate with internal stakeholders to ensure that trading systems are designed and implemented in a compliant manner.
- Provide guidance and advice to trading business units and technology teams on compliancerelated matters.
- Conduct compliance training for trading staff and management to foster a culture of compliance.
- Perform risk assessments and implement controls to mitigate trading compliance risks.
- Investigate compliance issues and provide recommendations for resolution maintaining thorough documentation of findings.
- Work closely with regulators and external auditors to ensure that trading activities comply with relevant rules and regulations.
- Stay informed of changes in electronic trading regulations and industry best practices ensuring the organization adapts accordingly.
- Prepare and submit compliance reports to senior management and regulatory bodies as required.
- Support the Chief Compliance Officer in executing the compliance strategy and initiatives.
Qualifications :
- Proven experience in a compliance role within the financial services sector or a related field with a focus on electronic trading.
- Strong knowledge of regulatory frameworks and compliance best practices related to electronic trading.
- Excellent analytical skills with a keen eye for detail and the ability to assess complex situations.
- Proven ability to develop and implement effective compliance programs and policies.
- Strong communication skills capable of articulating complex regulatory concepts to diverse audiences.
- Proficiency in compliancerelated software and tools experience working with electronic trading systems and technology is a must
Additional Information :
- Bachelors degree in Finance Law Business Administration or a related field; advanced degree or professional certifications (e.g. CRCM CAMS) are a plus.
- Experience with risk management and compliance monitoring systems in the context of electronic trading.
- Strong problemsolving skills and the ability to work independently and as part of a team.
- A track record of successfully managing compliance projects and initiatives.
- Experience in CFTC and Market Abuse Directive rules/regulations as well as algo/HFT trading
- Experience in trade surveillance is a plus
- Experience in developing and implementing compliance policies and procedures.
- Negotiation and interaction skills with regulators and counterparties.
- Ability to assess and monitor risks and implement management strategies.
Remote Work :
Yes
Employment Type :
Fulltime
Employment Type
Remote
Department / Functional Area
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