Compliance Officer

Flow Traders is seeking a Compliance Officer to join their team in New York. The role focuses on designing and implementing automated compliance controls, conducting trading reviews, and performing trade surveillance. The ideal candidate is self-motivated and analytical, with a strong focus on Process Testing and Implementation. This is an entrepreneurial environment offering exposure to the Firm's business and technology.

Requirements

• 5-10 years of relevant working experience in a trading-related environment and/or broker-dealer compliance
• Undergraduate degree in Engineering, Computer Science, Finance, Economics, Business, Law or related
• Expertise in Excel, VBA, SQL, and Python
• Familiarity with SEC, FINRA, CFTC, NFA and exchange rules
• Series 7 license or willingness to obtain it soon

Benefits

• Entrepreneurial and innovative culture