Compliance Officer
Rutherford Search
About the job Rutherford is partnered with a technology-driven trading and investment firm operating across multiple asset classes on leading exchanges worldwide. The firm are seeking a trading compliance specialist that will act as a key advisor to the business and manage exchange relationships. Key responsibilities
- Monitor and interpret US exchange rules, SEC/CFTC guidance, and exchange circulars to keep the firm's activities compliant and well-aligned with evolving expectations.
- Design, maintain, and enhance trade-surveillance controls to detect unusual patterns and escalate potential issues promptly.
- Partner with operations, trading, and technology teams to ensure exchange reporting and membership obligations are consistently met.
- Support expansion of exchange memberships in line with strategic growth plans (for example, Chicago-based initiatives), providing compliance input during onboarding and ongoing membership reviews.
- Serve as an internal subject-matter expert on US exchange regulations - offering timely, practical compliance advice to front-office and support functions.
- Liaise with regulators, exchanges, and external counsel as needed to respond to inquiries or prepare filings.
- Proven experience in a compliance/surveillance within a trading, brokerage, or exchange environment.
- Strong grasp of US exchange rulebooks, membership obligations, reporting standards, and surveillance practices.
- Comfort translating regulations into clear operational guidance for non-compliance colleagues.
- Excellent stakeholder-management skills-able to collaborate with cross-functional teams and influence decision-makers.
- Detail-oriented, proactive, and adaptable in a fast-moving trading environment.
Vacancy posted 2 days ago
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