Compliance Officer
Flow Traders provides continuous liquidity across global financial markets through technology-enabled market making and trading services.
About Flow Traders
Flow Traders helps institutional clients and market participants access liquidity across multiple asset classes through continuous market making services. You can trade ETPs, digital assets, fixed income, commodities, and FX products with enhanced execution quality. Flow Traders reduces trading costs and increases market efficiency through proprietary technology and global presence.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will support the Know Your Customer and Anti-Money Laundering program and the employee compliance program. You will collect and review institutional counterparty onboarding materials, investigate compliance alerts involving personal trading, sanctions, negative news, electronic communications, and exchange registrations, manage employee access to trading and compliance platforms, support employee compliance obligations, assist with Written Supervisory Procedures, and work 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
- High attention to detail
- Process-based problem-solving
- 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
