Compliance Officer - US Activities

About Da Vinci

Da Vinci is a proprietary trading house founded in 2015 and specialised in solving market inefficiencies, identifying opportunities based on volatility arbitrage and delta1 strategies and providing liquidity to the markets. We are headquartered in the home of the world’s first stock market, Amsterdam, and we have offices in Miami and Mumbai. Today, we trade on the most prominent exchanges across Asia and the US. Our vision is set on sustainable growth and collaboration across teams and offices.

We always keep our work smart and innovative and are building a team of trading enthusiasts. The key to our success is hiring not only intelligent but inventive, laser-focused and highly efficient individuals. Across all departments; trading, quantitative research and development alike, Da Vinci is made up some of the sharpest minds and most passionate players in the industry. We are non-hierarchical and support employees in exploring their interests and strengths, placing no limit on personal growth.

About the Role

As a compliance officer in our Miami office, you will work closely with our Trading, Legal, Risk, Finance, and Technology teams by providing expert compliance support. Da Vinci 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. This is a once-in-a-lifetime opportunity to be part of a successful and fast-growing company.

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 in both our Miami and Amsterdam offices.

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

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

Benefits

• An opportunity to work beside the best in the field
• Salary ranging from 150k USD to 200k USD depending on experience
• Excellent variable pay based on the company’s and your own performance
• Outstanding performance is also rewarded with equity in the company
• Relocation package including temporary housing upon arrival and coverage of moving costs
• Training period in Amsterdam to get to know the team
• Comprehensive benefits package including medical, dental, and vision insurance
• 25 vacation days each year
• Meals during work hours
• Social events and after-work drinks