Responsibilities
- Develop and implement policies and procedures across a variety of business units.
- Coordinate with our global legal and compliance team to work on global initiatives, especially those relating to AML monitoring and reporting.
- Drive compliance innovation initiatives with a focus on greater automation, increased efficiency, and trend analysis.
- Coordinate with trading teams, technology, and other relevant stakeholders across the organization to escalate and remediate issues identified through the course of reviews.
Requirements
- Bachelor’s Degree or Commensurate Experience preferred however will consider other relevant experience.
- 3-7 years of experience with a financial services firm, Fin-Tech, regulator or commensurate experience.
- Strong working knowledge of broker-dealer regulation, including securities and commodities laws and SEC, CFTC, and SRO Rules.
- Experience analyzing trading activity across a variety of asset classes, such as equities, options, fixed income, currency, commodities, futures, fx, swaps, forwards, and cryptocurrencies.
- Experience conducting AML reviews and investigations.
- Strong communication and interpersonal skills.
- Self-starter and team player who is comfortable working in a fast-paced environment and a relatively flat organization.
Nice to Have
- Familiarity with SQL, python, or similar query and scripting languages is a plus, but not required.
- CAMS certification considered a plus
Compensation
Salary Range: $100,000 - $175,000 (salary range is exclusive of bonuses, benefits or other categories of compensation)
