Compliance Officer
Flow Traders is a global technology-enabled multi-asset liquidity provider and market maker.
About Flow Traders
Flow Traders provides continuous on-exchange and off-exchange liquidity across exchange-traded products, fixed income, FX, commodities, and digital assets using proprietary trading technology. Its digital-assets business, active since 2017, includes crypto ETP market making, OTC trading, liquidity provision, and DeFi connectivity.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
Support the Know Your Customer and Anti-Money Laundering program and the employee compliance program by reviewing institutional counterparty onboarding materials, investigating compliance alerts, managing access to trading and compliance platforms, supporting employee compliance obligations, assisting with Written Supervisory Procedures, and working with the Chief Compliance Officer on compliance projects.
Requirements
- At least three years of relevant AML/KYC and/or broker-dealer compliance experience
- Undergraduate degree in Finance, Economics, or Business
- Strong writing skills
- Strong organizational skills and high attention to detail
- Process-based problem-solving ability
- Familiarity with World-Check One, ACA ComplianceAlpha, Salesforce, Smarsh, Bloomberg Vault, and Microsoft Purview is a plus
- Proficiency in Python and/or SQL is a plus
Responsibilities
- Collect, review, and document new institutional counterparty onboardings and periodic updates
- Review and investigate compliance alerts across personal trading, sanctions, negative news, electronic communications, and exchange registrations
- Document findings in clear, well-supported case notes
- Manage employee access to third-party trading, clearing, and compliance platforms
- Support employee onboardings and terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education
- Assist with implementing and disseminating Written Supervisory Procedures
- Identify opportunities to strengthen the compliance program
- Support the Chief Compliance Officer with compliance functions and projects
Benefits
- Annual discretionary variable remuneration
- Annual company trip
- Holiday parties
- Family and sports events
- Employee volunteer programs
- Charity support initiatives
- Global rotation opportunities
- Sports programs
- Healthy food
- Wellbeing programs
- Lunches and coffee
Hiring Process
Apply with a CV and cover letter; interview with a recruiter; interview with the potential team; final interview with the hiring manager.