Compliance Officer, Core

Flow Traders is looking for Compliance Officer to join our growing Compliance team in New York.  The ideal candidate is process oriented, an effective communicator across teams and is curious and passionate about the financial markets.  Your core duty will be to execute broker-dealer enterprise compliance obligations (registration processes, continuing education, annual training).  Additionally, you will be responsible for monitoring personal transactions, electronic communications, and related employee compliance controls.  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!

About the Team  

The Compliance Department at Flow Traders plays a central and very important role in managing the implementation, adherence to and enforcement of compliance with respect to internal rules at Flow Traders and regulations from governments, regulators and exchanges. The ideal candidate is proactive and driven to focus on continuous improvement of our enterprise compliance operations.  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.

What You Will Do 

• Manage the Firm’s licensing and registration Compliance program
• Register employees using the FINRA Gateway, and be familiar with FINRA Rules 1210, 1220 and 1240
• File and update employee licenses and registrations, including timely reporting of various Firm and individual filings (e.g., Forms U4, U5)
• Monitor employee communications in accordance with the Firm’s policies and procedures
• Coordinate regulatory element training, including, assist in the preparation and delivery of relevant compliance trainings
• Maintain documentation, tracking and evidence of reviews completed according to established protocol
• Assist with compliance oversight including developing and maintaining effective controls designed to monitor the effectiveness of the compliance program
• Review policies, procedures, and controls to identify potential areas to strengthen the compliance program, including promoting the culture of compliance throughout the organization
• Stay up to date with new or amended laws, rules and regulations within the finance and trading industry; and
• Complete a variety of ad hoc projects across a wide range of work supporting Legal and Compliance functions

What You Need to Succeed

• Undergraduate degree in law, finance, business management or related field
• 3- 5 years of work experience at a broker/dealer and/or regulated entity.
• Series 7 or equivalent required, Series 24 preferred or attained upon hiring
• Must be familiar with the FINRA CRD System, Gateway
• Strong analytical and communication skills
• Service-oriented, ability to balance regulatory and policy standards with business perspective
• Highly analytical, strong attention to detail
• Strong administrative and prioritization skills
• Mature, professional and of unquestionable integrity, carrying out excellent judgment when handling sensitive information
• Proficiency in Excel, VBA and/or SQL 

Recruitment Process

1. Submit your resume.
2. Behavioral interview with HR.
3. Meet with members of the Compliance Team
4. Final round interview with the Global Head of Compliance.

Where permitted by applicable law, all new hires as of August 15, 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.

We like to think that talent grows at Flow and stays at Flow. To ensure this, we provide our employees with an extensive onboarding program, access to Flow Academy, the best working environment, the latest technology and continuous support. We go out of our way to retain the small business feeling with which we started and stimulate innovation and collaboration through teamwork and our non-hierarchical approach. We offer competitive salary, annual discretionary profit share and other fantastic perks and benefits, such as:

• Medical, Vision, Dental Insurance coverage
• 401k plan with generous match
• In-house lounge with a bar, game consoles, poker & billiards tables
• Daily catered lunch, cold brew coffee on tap and a fully stocked kitchen
• Weekly table massages and bi-weekly haircuts
• Annual company trip and a variety of events throughout the year
• Reimbursed gym membership or home equipment and other wellness initiatives
• Flow Academy for continuous learning and opportunities to attend industry seminars and conferences
• Global rotations between our offices worldwide
• and more!

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.