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 collect and document institutional counterparty onboardings, investigate compliance alerts involving personal trading, sanctions, negative news, communications and exchange registrations, manage employee access to compliance platforms, support employee compliance obligations, strengthen procedures and assist the Chief Compliance Officer with compliance projects.
Requirements
- At least three years of relevant experience in AML/KYC and/or broker-dealer compliance
- Undergraduate degree in Finance, Economics, or Business
- Excellent judgment when handling sensitive information
- Strong writing skills
- Strong organizational skills
- High attention to detail
- Process-based problem-solving ability
- Ability to manage competing priorities in a fast-paced environment
- Familiarity with World-Check One, ACA ComplianceAlpha, Salesforce, Smarsh, Bloomberg Vault, or Microsoft Purview
- Proficiency in Python and/or SQL
Responsibilities
- Collect, review, and document new institutional counterparty onboardings and periodic updates
- Review and investigate compliance alerts involving personal trading, sanctions, negative news, electronic communications, and exchange registrations
- Document findings in clear case notes and alert documentation
- Manage employee access to third-party trading, clearing, and compliance platforms
- Support employee onboardings, 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 daily functions and compliance projects
Benefits
- Annual discretionary variable remuneration based on company, group and individual performance and contribution
