Job Description

Flow Traders is seeking a Compliance Officer in New York to support their multi-asset trading environment. The role involves strengthening the firm’s compliance program through monitoring, surveillance, policy development, training, and regulatory reporting.

Responsibilities

• Monitor regulatory developments and update procedures
• Provide advisory on market rules and compliance risks
• Operate and enhance monitoring and surveillance controls
• Automate compliance processes using technology
• Design and govern an auditable automation framework
• Assist in regulatory reporting
• Draft responses to regulatory inquiries

Requirements

• 5-10 years in regulatory, compliance, or legal roles or compliance automation experience
• Undergraduate degree in related field
• Knowledge of SEC, FINRA, CFTC, NFA, and exchange rules
• Familiarity with trading and markets
• Strong communication and interpersonal skills
• Proficiency in Excel and SQL
• Python experience a plus
• Series 7 preferred

Benefits

• No benefits