Our client, a Tier 1 proprietary trading firm, is hiring a Compliance Officer to be responsible for ensuring their business operations and procedures comply with legal regulations and internal policies.
- Leading Compliance projects related to electronic trading in all asset classes
- Advising internal management and business partners on business-driven queries and the implementation of compliance programs
- Collaborating on strategic projects by drafting business requirements, working with key internal teams and participating in user acceptance testing
- Conducting regular tests of the business unit’s compliance with policies, procedures and regulatory controls, and analysis of new and updated controls and best practices in the industry
- Working closely with the Head of Compliance for all regulatory compliance issues and related matters, and assisting with escalation and resolution of matters raised by internal surveillance and reporting
- Lead employee training sessions on legal and compliance issues
- Overseeing and handling all other ad-hoc tasks or projects as required by the regional or global compliance team.
- 5-10 years of relevant work experience in a regulatory compliance role with a financial services firm
- Good knowledge of the regional electronic markets and various asset classes, as well as knowledge of the trading industry compliance processes and regulations.
- Proven analytical skills, including the analysis of large amounts of order and trade data whilst maintaining attention to detail.
- SQL and/or Python skills preferred
[EA License Number] 18C9289 | [Registration Number] R1551292