Compliance Officer
Virtu Financial is a global financial services firm and market maker providing liquidity, execution services, analytics, and trading technology across multiple asset classes.
About Virtu Financial, Inc.
Virtu Financial, Inc. leverages market-structure expertise and technology to provide liquidity and transparent trading solutions across equities, ETFs, foreign exchange, futures, fixed income, cryptocurrency, and commodities. Its offerings include market making, execution services, liquidity sourcing, multi-asset analytics, data products, compliance tools, and broker-neutral workflow technology.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will join the Legal and Compliance function and work across several Compliance areas. You'll partner with business, operations, risk, technology and finance teams to make sure robust policies and procedures are in place, perform surveillance and supervisory reviews, conduct AML due diligence, and respond to regulator and exchange inquiries. You'll also handle regulatory review and reporting, propose automation and efficiency initiatives, and communicate with regulators and other external parties.
Requirements
- Bachelor's Degree or commensurate experience
- 0-5 years of experience with a financial services firm, Fin-Tech, regulator, audit firm, consulting firm or commensurate experience
- Strong communication and interpersonal skills
- Self-starter and team player comfortable in a fast-paced, relatively flat organization
- Familiarity with equities, options, fixed income, currency, commodities, futures, fx, swaps and forwards, crypto currencies
- Post-graduate degree a plus
- Knowledge of broker-dealer regulation, including SFC, ASIC or MAS regulations, a plus
- Knowledge of programming languages, database administration and network architecture a plus
- Trading and back-office experience a plus
Responsibilities
- Work closely with key stakeholders in business, operations, risk, technology and finance teams to ensure robust compliance policies and procedures
- Perform surveillance and supervisory reviews
- Conduct AML due diligence and respond to AML/KYC inquiries from third parties
- Respond to regulator and exchange inquiries by gathering data, conducting stakeholder interviews and performing analyses
- Perform regulatory review and reporting
- Propose compliance innovation initiatives focused on automation and efficiency
- Communicate with regulators and other external parties in connection with inquiries, exams, rule-making initiatives and outreach