Senior Compliance Officer
Core
Senior Compliance Officer owning advisory compliance and core compliance functions for a proprietary algorithmic trading firm, providing real-time trading guidance and building governance frameworks across all regions and asset classes.
Role type
Senior Compliance Officer (Proprietary Trading Firm)
Builds
Pre-cleared rules framework, algo trading governance framework, policy framework, and training program.
Domain
Financial Services / Algorithmic Trading / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Building and maintaining compliant tools and systems, experience in compliance at a proprietary trading firm/market maker/electronic trading venue, experience across multiple asset classes (commodities, rates, equity futures, options, equities), knowledge of algo trading controls and governance, familiarity with multi-venue regulatory obligations (US CFTC/NFA, EU MiFID II, India SEBI, UK FCA), ability to write and implement core compliance policies (AML, recordkeeping, whistleblowing, conflicts of interest), delivering timely guidance while maintaining independence.
Preferred skills
Equities compliance frameworks (Reg SHO, short selling, locate obligations), exchange membership obligations (ICE, CME, LME, NSE), position-limit regimes, Chinese exchange connectivity (CTP), trade surveillance systems and alert handling, building compliance frameworks from scratch, automating AML/sanctions screening workflows.
Technologies
Trade surveillance systems, AML/sanctions screening workflows, algo trading governance tools.
Responsibilities
Provide real-time trading guidance across all asset classes and venues, build and maintain a pre-cleared rules framework for recurring desk queries, advise development, trading, and operations teams on building compliant tools and processes, build out a comprehensive algo trading governance framework covering the full lifecycle, oversee two Compliance Officers, manage trade surveillance across all venues, handle regulatory and exchange affairs including filings and inquiries, maintain the policy framework and run the training program across all regions, screen vendors and counterparties for AML and sanctions, supervise and develop two Compliance Officers, represent compliance in cross-functional discussions, serve as escalation point for non-routine compliance matters.
Seniority
Senior, hands-on IC with team leadership responsibilities.