Compliance Analyst

Flow Traders is looking for Compliance Analyst to join our growing AML & Monitoring team in New York. The ideal candidate is a motivated self-starter who can handle competing priorities and work effectively in a challenging, fast-paced environment. This is a unique opportunity to join a leading proprietary trading firm with an entrepreneurial and innovative culture at the heart of its business.  We value quick-witted, creative minds and challenge them to make full use of their capacities. If you aim high, the sky is the limit!

The AML & Monitoring team is part of the Compliance department, which manages the implementation, adherence to and enforcement of compliance with the statutory and internal rules and regulations of Flow Traders. As a publicly listed company with a presence in the US, Europe and APAC, this position guarantees a profound exposure to a variety of financial regulatory areas.

• Collect, review, and document periodic updates to institutional counterparty files (e.g., KYC, CIP, AML, OFAC, Worldcheck) and responsibly maintain the counterparty databases (i.e., Salesforce)
• Manage employee access to third party trading, clearing, and compliance platforms
• Support Team Lead to administer the broader employee compliance program, including- Employee Compliance Onboarding/Termination, Personal Trading, Outside Business Activities, Gifts & Entertainment, Political Contributions, Exchange Registrations, Social Media, Electronic Communications and Continuing Education Requirements
• Assist with the implementation and dissemination of Written Supervisory Procedures to identify potential areas to strengthen the compliance program, including promoting the culture of compliance throughout the organization
• Assist Team Lead with other day-to-day functions and compliance projects, including shared ownership of global Compliance projects in which the Compliance department may participate

• 1 years of relevant experience in AML/KYC and / or broker-dealer compliance preferred
• Undergraduate Degree in Finance, Economics, or Business
• Mature, professional and of unquestionable integrity, carrying out excellent judgment when handling sensitive information
• Enjoy working with paperwork and people, with strong interpersonal skills who is able to answer questions and explain processes clearly to both a wide range of colleagues across the firm and external parties
• Familiarity with third party vendors such as WorldCheck, ComplianceAlpha, Salesforce, Smarsh/Socialite, or Microsoft Purview preferred
• Proficiency in Excel, VBA and/or SQL a plus
• Strong organizational skills with a high attention to detail
• Process based approach to problem-solving and creating informed and concrete proposals
• Motivated self-starter who can handle competing priorities and work effectively in a challenging, fast-paced environment

Where permitted by applicable law, all new hires as of August 15th 2021, will be required to provide proof of COVID-19 vaccination. Accommodations related to this requirement will be available for individuals unable to be vaccinated due to a medical condition or sincerely held religious belief.

At Flow Traders, we acknowledge the importance of open and transparent communication whether it be with our employees, our stakeholders, or our local and global communities. When it comes to salary, Flow Traders uses reliable market research to create base ranges. Where candidates will fall within the range depends on a few different factors including but not limited to level of experience, location, and specific skill set. We also consider ourselves one global team, and to demonstrate that, all employees are eligible to share in the company’s success through an annual discretionary variable remuneration allocated based on company, group and individual performance and contribution.

Per NYC salary transparency law, the total compensation for this role includes a base of $75,000 plus annual discretionary variable remuneration.

Flow Traders does not accept unsolicited resumes from any professional staffing or search firms. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.