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 #J-18808-Ljbffr
Vacancy posted 4 days ago
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