Compliance Officer
17 hours ago
Are you a seasoned compliance professional seeking a challenging role in a dynamic and entrepreneurial environment? Do you have a passion for staying ahead of regulatory changes and ensuring compliance with complex trading rules? We're looking for a talented Compliance Officer, Electronic Trading to join our team at Smith Arnold Partners.
About the RoleThis is an exciting opportunity to work with a leading financial services firm, where you'll collaborate with senior management and programming staff to ensure compliance with market access and orderly trading rules, exchange and NMS trading rules, best execution, and other regulatory requirements. You'll craft detailed written instructions for programmers and technical staff, draft and implement firm policies, controls, and written supervisory procedures, and develop remedial action plans in response to internal and external audit findings.
Responsibilities- Collaborate with senior management and programming staff to ensure compliance with regulatory requirements
- Craft detailed written instructions for programmers and technical staff
- Draft and implement firm policies, controls, and written supervisory procedures
- Develop remedial action plans in response to internal and external audit findings
- Perform special projects as needed
- Bachelor's degree in finance or other relevant discipline
- 6-12 years of 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 membership in good standing of the bar of any US state or the District of Columbia preferred
As a Compliance Officer, Electronic Trading at Smith Arnold Partners, you'll have the opportunity to work with a successful and growing publicly traded financial services firm, where you'll be rewarded for your efforts and afforded the opportunity to take your career to the next level. You'll be part of a dynamic and entrepreneurial environment, where you'll have exposure to worldwide markets and senior management. We offer a competitive salary, bonus, and equity eligibility, as well as excellent training on new technologies and great fringe benefits.
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