Compliance Officer
Core
Develop policies and procedures, conduct monitoring and testing, and provide guidance on securities laws and regulations for an exchange operator.
Role type
mid-level compliance officer (capital markets)
Builds
firm policies, compliance monitoring programs, and internal controls
Domain
Financial services / Capital markets / Securities regulation
Required skills
securities laws knowledge, FINRA/SEC/SRO rules, AML, policy drafting, compliance monitoring, issue spotting, project management
Preferred skills
options market experience, technology team collaboration, AI tools for compliance, compliance management software
Technologies
AI tools, compliance management software
Responsibilities
Draft and manage firm policies and procedures; Build and run compliance monitoring and testing; Spot potential regulatory issues and propose solutions; Collaborate with Regulation, Risk, Legal, InfoSec, and Technology; Assist with regulatory exams and audits; Manage compliance projects from start to finish
Seniority
Mid-level, hands-on IC