Compliance Officer for Quantitative Trading firm

A Quantitative Trading Firm based in downtown Manhattan seeks a bright and motivated compliance officer with relevant experience to lead and administer the company’s compliance program. 

The candidate will have the opportunity to work closely with leaders in trading, technology and market structure at a fast-paced, dynamic company. 

Management structure is flat and the employees are motivated by the excitement of being at the forefront of the automated trading world. 

The compliance officer is expected to be knowledgeable regarding federal (e.g. SEC), state, and SRO (e.g. NASDAQ or NYSE) rules and laws. The candidate should understand the compliance requirements of broker-dealers and how to develop and implement an effective compliance program that will accomplish several objectives: 

• Maintain and develop effective compliance policies and procedures to prevent violations of rules or laws in effect by federal or state agencies and SROs 
• Perform surveillance reviews to detect compliance issues as they occur 
• Enforce actions that immediately correct compliance issues 

Responsibilities Include: 
• Being responsible for the development and enforcement of appropriate policies and procedures of the firm 
• Acting as primary compliance contact and liaison with regulatory agencies 
• Providing consulting advice and counsel regarding compliance issues and questions identified by business people at the Company 
• Performing the required periodic or annual review of the Company compliance program and making reports to senior management 
• Staying current on regulatory and compliance matters and modifying existing policies and procedures timely in order for the Company to remain compliant with the rules and laws then in effect 
• Ensuring that staff of the Company is appropriately trained in compliance related matters, including establishing a comprehensive continuing education and monitoring program to ensure the Company licensed personnel comply with the Company’s firm element requirements 

Requirements: 
• Bachelors Degree 
• 5 years of broker-dealer compliance or regulatory experience 
• Series 7 and 24 with 4, 14, and 63 a plus 
• Experience with SRO examinations 
• Strong verbal and written communication skills 
• You are capable of working independently as well as part of a team 
• You learn quickly and apply new skills effectively 
• Ability to multitask and prioritize multiple projects 
• Must be comfortable working in a technical environment 

Perks: 
• Highly competitive compensation 
• 100% medical and dental coverage 
• Casual dress code 
• Catered breakfast and lunch