Compliance Officer

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Requirements:

• Proven experience in a compliance role within the financial services sector or related field, focusing on electronic trading.
• Strong knowledge of regulatory frameworks and best practices related to electronic trading.
• Excellent analytical skills with attention to detail.
• Ability to develop and implement effective compliance programs.
• Strong communication skills to explain regulatory concepts to diverse audiences.
• Proficiency in compliance-related software and experience with electronic trading systems.
• Bachelor’s degree in Finance, Law, Business Administration, or related field; advanced degree or certifications are a plus.
• Experience with risk management and compliance monitoring systems.
• Strong problem-solving skills and ability to work independently or as part of a team.
• Experience in CFTC and Market Abuse Directive regulations, algo/HFT trading, and trade surveillance is a plus.
• Negotiation skills with regulators and counterparties.

Responsibilities:

• 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 compliant.
• Provide guidance to trading units on compliance matters.
• Conduct compliance training for staff and management.
• Perform risk assessments and implement controls.
• Investigate compliance issues and document findings.
• Work closely with regulators and auditors.
• Stay informed of electronic trading regulations.
• Prepare compliance reports for management and regulators.
• Support the Chief Compliance Officer in compliance strategy.