Senior Compliance Officer

SpeedTrader, Inc., is a New York-based online retail brokerage firm that provides stock and options trading services for active traders. The firm was established in 1999. For more information, visit Senior Compliance Officer, working closely with the CCO and firm management, will play an integral role in maintaining our firm's adherence to regulatory standards and internal policies while staying abreast of all regulatory developments and requirements. This role requires a keen eye for details, strong analytical capabilities, and the ability to manage multiple tasks effectively in a dynamic financial services environment. This is a full-time position, Monday-Friday 8a-5p. We are currently working in the office but are open to hybrid or remote work as needed.Responsibilities:Day-to-day management of trade surveillance system to ensure compliance with AML CIP and KYC requirements, other securities laws and rules, and firm policies and proceduresManagement of the firm's best execution programSupport the general administration of the firm's compliance programAssist the CCO with preparing, reviewing, and submitting regulatory filings to ensure timely submission and adherence to applicable laws and regulationsCollaborate with internal personnel to gather and verify necessary documentation, and maintain comprehensive records of all filings and communications related to regulatory complianceAssist in maintaining compliance program, policies, and practicesPerform additional tasks and responsibilities as directed by the CCO to support overall compliance functionSkills and QualificationsHigh School Diploma or equivalent required.Bachelor's Degree preferred.FINRA Series 7 and 24 licenses required.At least 5 years of experience in broker-dealer regulatory AML compliance, preferably for a firm that services active traders.ATS, trade reporting and Rule 605606 reporting experience is a plus.Strong ethical standards and a commitment to maintaining confidentiality.Ability to work independently as well as in a collaborative team environment.Demonstrated ability to build good working relationships.Experience in creating and implementing compliance policies and procedures.Meticulous attention to detail and exceptional organizational skills.Strong verbal and written communication skills.Working knowledge of the Microsoft Office Suite of products.Strong track record of effectively assessing and managing competing priorities to deliver high quality and timely work.Proactive and resourceful problem-solver.The hiring salary range for this position is $90,000 to $175,000 per year, depending on the candidate's job-related knowledge, skills, and experience, among other factors.Please submit your resume and cover letter for consideration.

Created: 2024-11-09