Compliance Officer
Core
Central role in Know Your Customer (KYC) and Anti-Money Laundering (AML) programs, managing institutional counterparty onboarding and investigating compliance alerts.
Role type
Compliance Officer (AML/KYC focus)
Builds
Compliance programs and policies for a proprietary trading firm
Domain
Financial Services / Proprietary Trading
Deliverable
Dashboards & analysis
Required skills
AML/KYC investigation, institutional counterparty onboarding, regulatory alert analysis, policy development, employee compliance management
Preferred skills
Python, SQL, familiarity with World-Check One, ACA ComplianceAlpha, Salesforce, Smarsh, Bloomberg Vault, Microsoft Purview
Technologies
World-Check One, ACA ComplianceAlpha, Salesforce, Smarsh, Bloomberg Vault, Microsoft Purview
Responsibilities
Review and document new institutional counterparty onboardings; investigate compliance alerts regarding personal trading, sanctions, and negative news; manage employee access to trading and compliance platforms; support employee compliance programs including onboarding, terminations, and outside business activities; assist in implementing Written Supervisory Procedures.
Seniority
Mid-level, hands-on IC