Compliance Officer
Neutral Street
Ensure the firm's trading activities comply with all relevant regulations across multiple global jurisdictions.
Responsibilities
- Monitor trading activity for potential market abuse or regulatory breaches
- Advise traders and engineers on regulatory constraints during strategy development
- Draft and update internal compliance policies and procedures
- Liaise with regulators (SEC, CFTC, FINRA) during audits and inquiries
Requirements
- 5+ years of compliance experience at a broker-dealer or proprietary trading firm
- Deep knowledge of SEC and FINRA rules
- Strong analytical skills and attention to detail
Vacancy posted 2 days ago
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