What are the responsibilities and job description for the Compliance Officer position at Career Group Search?
Global, proprietary trading firm is seeking a Compliance Office to join its Miami office. In this role, you will work closely with the Trading, Legal, Risk, Finance, and Technology teams by providing expert compliance support. The firm offers an exciting and dynamic work environment, where employees are given the freedom to come up with great ideas and the space to push these to completion.
We’re seeking an experienced compliance officer who will add value by playing a crucial role in ensuring our business operates and grows in accordance with US exchange rules, regulations, and applicable laws. This will involve regulatory filings, responding to regulatory inquiries, trade surveillance, monitoring, and overseeing control function activities to verify the firm remains compliant in a time-sensitive environment.
The regulatory landscape of our business is complex and evolving. The compliance officer will help review and interpret new rules, educate colleagues on changes, and update firm policies and procedures. This will require strong people skills and the ability to explain processes clearly to individuals in various departments.
Responsibilities:
- Provide compliance guidance and regulatory interpretations to business units
- Develop and perform surveillance and compliance report reviews
- Develop and maintain compliance policies and procedures
- Assist in responding to regulatory exams and inquires
- Organize and provide training for broker-dealer employees
- Assist on cross functional projects with other business units such as Risk, Finance, Mid-Office, and IT Operations
- Contribute to identify and assess compliance risks associated with broker-dealer business and operations
Requirements:
- 3 to 7 years of relevant work experience in a regulatory compliance role with a financial services firm or exchange
- Bachelor’s Degree
- Working knowledge of electronic trading in a variety of asset classes, including equities and index options
- Experience interpreting and maintaining compliance within FINRA, US exchange, and SEC rules
- Ability to write and review internal policies and Supervisory Procedures
- Strong analytical and research skills
- Ability to work both independently and within a team of employees from multiple departments
- Strong verbal and written communication skills
- Experience and strong interest in developing and optimizing Compliance processes and frameworks
This role is onsite 5 days/week in Miami, FL (Brickell).
Compensation: $150-200K base plus discretionary bonus. Relocation package offered when moving across states, including temporary housing upon arrival and coverage of moving costs.
Salary : $150,000 - $200,000
