Compliance Officer job

Job Description

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. 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.

We are looking for a Compliance Officer to join our team in New York. In this position, you will be support day to day compliance operations and trading surveillance initiatives, as well as the onboarding of counterparties for our Institutional Trading team.


What You Will Do

  • Define and build controls on reporting and monitoring processes, primarily by using tools such as Python, SQL and VBA
  • Perform daily monitoring controls related to regulatory obligations that are designed to mitigate various types of compliance and operational risk
  • Assist with due diligence and review of prospective counterparties
  • Provide advice on general trading and reporting rules and regulations and advising on real-time issues
  • Review policies, procedures and controls to identify potential areas to strengthen the compliance program
  • Assist with responding to regulatory inquiries and exams
  • Stay up to date with new or amended laws, rules and regulations

What You Will Need to Succeed

  • 1-3 years of relevant working experience in compliance
  • Degree in Finance, Economics, Business, or related
  • Strong knowledge of general trading rules/regulations including equity, futures and fixed income products
  • Advanced proficiency in Excel, VBA and SQL, strongly preferred
  • Familiarity with Python, a plus
  • Affinity for market structure and financial market regulation
  • Strong communication and interpersonal skills
  • Process based approach to problem-solving
  • Ability to handle multiple tasks simultaneously and work under pressure


We Offer

We like to think that talent grows at Flow and stays at Flow. To ensure this, we provide our employees with the best working environment, the latest technology, continuous support, and we go out of our way to retain the small business feeling with which we started. We offer competitive salary, annual discretionary bonus and other perks and benefits, such as:

  • Healthcare, Vision, Dental Insurance and 401k
  • In-house lounge with a bar, 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 and other wellness initiatives
  • and more!