Senior Compliance Officer

  • Full-time

Company Description


Job Description

The Senior Compliance Officer will conduct surveillance as well as test Policies and Procedures. This position requires an ability to independently evaluate a situation, exercise judgment and make a decision. This individual will need to identify and resolve problems in a timely manner by gathering and analyzing information skillfully.

General Responsibilities:
•    Conduct daily, other periodic and Ad Hoc surveillance including of Company wide, Trading Department, employee personal accounts and other activities
•    Gather documents/information responsive to S.E.C. and CBOE, FINRA examination requests
•    Resolve or recommend solutions to complex problems
•    Conduct and analyze surveillance reviews to identify irregularities and ensure compliance with organizational and regulatory agency rules and regulations
•    Alert management to current regulatory issues
•    Monitor exception and other internal reports for employee adherence with rules and regulations
•    Review various message systems including email communications

Trading and Other Specific Responsibilities Include:

•    Real time monitoring, advice and support to Traders and Trading desk
•    Advice to Traders on regulatory requirements including Regulation SHO (locates, mark tickets, tick test etc.)
•    Activity monitoring and exception reporting
•    Educate trading personnel on compliance procedures and new regulations
•    Manage and amend "Written Supervisory Procedures" as and when necessary to conform to new business requirements and regulations.
•    Research and provide guidance on new trading proposals and trading styles.
•    Work with regulators on regulatory exams and managing routine regulatory inquiries


•    5 or more years FINRA Member Broker-Dealer tenure as a Compliance Officer for a firm who has an approved business of proprietary trading. May also consider Registered Investment Advisor (RIA), Private Bank or other compliance officer work experience; CSX, CBOE Member tenure preferred
•    Bachelor's Degree
•    Series 7, 24 licenses
•    Series 55 licenses preferred
•    Strong understanding of federal securities laws, with particular experience with and knowledge about the regulation of member broker-dealers by FINRA, CBOE including Anti-Money Laundering (AML) and USA Patriot Act

Other Required Skills
•    Proficient in MS Excel, Word, and Outlook, preferred
•    Strong research and organizational skills
•    Extraordinary written and oral communication skills
•    Ability to multi-task and adapt to shifting priorities
•    Excellent interpersonal skills and an ability to work effectively with staff at all levels

Additional Information

This is a full-time permanent position. In addition to salary,  the position will offer benefits that are available to all Company employees.

Competitive salary and benefits package


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