Senior Compliance Officer - Trading and Regulations

For one of our clients in the beautiful Brickell neighborhood of Miami, we are seeking a Senior Compliance Professional who can bring expertise in managing the regulatory and compliance framework of a proprietary trading firm. In this role, you will be responsible for managing regulatory filings, conducting trade surveillance, and overseeing compliance functions to ensure the business operates smoothly within U.S. exchange rules.

This Europe-based firm has recently expanded into the U.S. market and is looking for someone who can play a crucial role in maintaining trading compliance in the growing office. This will be a very hands-on position, perfect for someone who enjoys seeing the direct impact of their efforts.

This role is ideal for someone who lives in the Miami metro area or who is looking to relocate. If you are interested in learning more, please apply!

Beschrijving

Responsibilities: Senior Compliance Officer - Trading and Regulations

As a Senior Compliance Officer, you primary responsibilities will include:

• Collaborate with departments such as Risk, Finance, Mid-Office, and IT Operations to embed compliance best practices in cross-functional projects;
• Lead and organize training sessions to ensure broker-dealer employees fully grasp compliance policies and regulatory obligations;
• Review and improve compliance policies and procedures in accordance with changing regulations;
• Provide guidance on regulatory matters and interpret intricate rules for different business units, facilitating operational alignment;
• Assist in managing regulatory inquiries and exams, ensuring effective and prompt communication;
• Develop, implement, and oversee trade surveillance systems, while conducting comprehensive reviews of compliance reports;
• Proactively identify, evaluate, and manage compliance risks to maintain strong risk management practices.

Requirements

Requirements: Senior Compliance Officer - Trading and Regulations

In order to succeed in this role, we ask that you have:

• 5+ years of experience in a similar senior compliance role within a financial services firm or regulatory agency, preferably within a propriety trading environment;
• Experience with maintaining compliance within FINRA, US exchanges, and SEC;
• Bachelor's Degree;
• Ability to develop and review internal policies and Supervisory Procedures;
• Knowledge of electronic trading in a variety of asset classes;
• Confident and methodical decision maker with the ability to handle multiple projects at once;
• US Citizen living within greater Miami area, or willing to relocate.

Salaris

The Offer: Senior Compliance Officer - Trading and Regulations

For the right candidate, our client would be willing to support relocation efforts to Miami. In addition to relocation support, the expected base salary will be between $150k - $250k, based off of your skillset and experience. In addition, bonus and other benefits will be discussed throughout the interview process.

How we continue: we will let you know within four working days whether you qualify for the position. We schedule an introductory meeting, via phone, digitally or live. In this interview we inform you as fully as possible about the vacancy, the company and the next steps in the procedure. In consultation with you, we introduce you to our client and then continue to guide you through the application process. The Independent Recruiters Group has a large team of specialized recruiters. Every recruiter has a very strong focus on his own field. This makes them the ideal sparring partner for both the candidate and the client.