Compliance Officer

Flow Traders
New York, NY
Category Legal
Job Description
Flow Traders is seeking a Compliance Officer to join their Compliance team in New York. This role involves assisting with core compliance controls, trading conduct reviews, surveillance, and automation. The ideal candidate is analytical, problem-solving, and motivated to contribute to the firm's legal and regulatory obligations.

Requirements

  • 1-3 years of relevant working experience in a trading-related environment and/or broker-dealer compliance
  • Undergraduate degree in Finance, Economics, Business, Law or related
  • Proficiency in Excel, VBA, SQL, and/or python
  • Familiarity with SEC, FINRA, CFTC, NFA and exchange rules
  • Strong communication and interpersonal skills
  • Series 7 license (or willingness to obtain)
  • Interest in trading across ETFs, equities, futures, fixed income or digital assets

Benefits

  • Competitive Salary
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