Senior Compliance Officer
Core
Global advisory compliance expert providing real-time trading guidance, maintaining pre-cleared rules frameworks, and owning the algo trading governance lifecycle for a proprietary algorithmic trading firm.
Role type
Senior IC Compliance Officer (Global Advisory & Governance)
Builds
Pre-cleared rules framework, algo trading governance framework, compliant tools and processes
Domain
Financial Services / Proprietary Algorithmic Trading / Commodities, Rates, Equities, Derivatives
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Real-time trading guidance, algo trading governance, multi-asset class compliance, regulatory affairs (US/EU/India/UK), AML/sanctions screening, policy writing and implementation, cross-functional leadership
Preferred skills
Equities compliance frameworks (Reg SHO), exchange membership obligations, position-limit regimes, Chinese exchange connectivity (CTP), trade surveillance systems, compliance framework automation
Technologies
N/A
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; Own the algo trading governance framework covering pre-deployment to annual review; Oversee trade surveillance, regulatory filings, and AML/sanctions screening; Supervise and develop two Compliance Officers
Seniority
Senior, hands-on IC with leadership responsibilities
