Compliance Officer

4 weeks ago

Stamford, Connecticut, United States Smith Arnold Partners Full time

Are you a seasoned compliance professional seeking a challenging opportunity to leverage your expertise in electronic trading and market access? Smith Arnold Partners is seeking a talented Compliance Officer, Electronic Trading to join our team. In this role, you will collaborate with senior management and programming staff to ensure compliance with Market Access and Orderly Trading Rules, Exchange and NMS Trading Rules, Best Execution, Reg ATS, Vendor Display Rule, Payment for Order Flow rules and disclosures, and others.

As a Compliance Officer, Electronic Trading, you will be responsible for crafting detailed written instructions for programmers and technical staff to enhance internal controls in response to new regulations or the launching of new business lines. You will also draft and implement firm policies, controls, and written supervisory procedures, as well as develop and implement remedial action plans in response to internal and external audit findings.

Additionally, you will draft regulatory responses for and interact with SEC, FINRA, and other regulators. If you have a strong background in finance, technology, and compliance, and are able to develop compliance solutions that satisfy relevant regulations while executing sound business judgment, we encourage you to apply for this exciting opportunity.

Responsibilities:

  • Collaborate with senior management and programming staff to ensure compliance with Market Access and Orderly Trading Rules, Exchange and NMS Trading Rules, Best Execution, Reg ATS, Vendor Display Rule, Payment for Order Flow rules and disclosures, and others.
  • Craft detailed written instructions for programmers and technical staff to enhance internal controls in response to new regulations or the launching of new business lines.
  • Draft and implement firm policies, controls, and written supervisory procedures.
  • Develop and implement remedial action plans in response to internal and external audit findings.
  • Draft regulatory responses for and interact with SEC, FINRA, and other regulators.

Requirements:

  • Bachelor's degree in finance or other relevant discipline.
  • 6-12 plus years experience with the SEC, FINRA, an exchange, law firm, or another broker-dealer.
  • Strong fluency with technology and how it is applied to business issues and regulations.
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
  • Industry registrations or member in good standing of the bar of any US state or the District of Columbia preferred.

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