Compliance Officer - Core Compliance
On-siteNo visa sponsorship
Core
Ensure the firm meets regulatory obligations and promote a strong culture of compliance across the organization.
Role type
Senior IC compliance officer (financial services)
Builds
Compliance policies, procedures, and monitoring controls for a quantitative trading firm
Domain
Financial services / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Regulatory reporting, policy development, team management, marketing review, personal trading surveillance, conflicts management
Preferred skills
Experience in trading firms, broker-dealers, or asset managers
Technologies
N/A
Responsibilities
Oversee employee compliance areas (personal trading, conflicts of interest, OBAs), manage licensing and registration, conduct periodic reviews of compliance controls, support regulatory exams and audits
Seniority
Senior, hands-on IC