Compliance Officer

Full Time

Financial Services Client

Office Status: Hybrid (3-4 days per week in office)

Salary: $150,000 – $225,000


  • Provide compliance support for Equity & Options Trading
  • Developing written policies and procedures, with review and testing of existing procedures
  • Provide advisory related to electronic non-discretionary trading Risk and IT on regulatory guidance and rules.
  • Working with the global surveillance function,
  • Acting as a point of contact for the business on matters relating to conduct compliance, employee compliance training
  • Monitoring the regulatory horizons for requirements that will impact.
  • Drafting and maintaining management information, internal briefings, processes, and procedures documentation.
  • Rulebook and product reviews
  • Regulatory reporting
  • Collaboration with the Legal Team and advising businesses from a compliance/regulatory perspective.
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