What are the responsibilities and job description for the Compliance Officer position at Alexander Chapman?
About the Company - I am currently working with a Leading Prop Trading Firm in Miami, and they are looking to hire a Compliance Officer to join their team.
About the Role - Provide compliance guidance and interpret regulations for different business units. Monitor trade activities, ensuring compliance with FINRA, SEC, and exchange rules. Develop and review internal compliance policies and procedures. Respond to regulatory exams and inquiries. Organize compliance training for employees. Collaborate with cross-functional teams (Risk, Finance, IT, etc.) on compliance-related projects.
Responsibilities -
- Provide compliance guidance and interpret regulations for different business units.
- Monitor trade activities, ensuring compliance with FINRA, SEC, and exchange rules.
- Develop and review internal compliance policies and procedures.
- Respond to regulatory exams and inquiries.
- Organize compliance training for employees.
- Collaborate with cross-functional teams (Risk, Finance, IT, etc.) on compliance-related projects.
Qualifications - 3-7 years of experience in a regulatory compliance role in financial services or exchanges. Bachelor’s degree.
