Compliance Associate

BHFT; New York (NY); Remote; USD 70,000 - 110,000; Full time

Job summary

An innovative trading firm is seeking a Compliance Associate to enhance its regulatory compliance efforts. This role involves monitoring trading activities, conducting compliance testing, and ensuring adherence to trading regulations. With a strong emphasis on technology and a commitment to transparency, the firm operates fully remotely, offering a dynamic work environment. The ideal candidate will have a background in finance or legal studies and experience in trade surveillance. Join a team of dedicated professionals in a fast-paced industry, where your contributions will directly impact compliance and regulatory standards.

Qualifications

• 3+ years in compliance or trade surveillance roles at financial firms.
• Strong understanding of U.S. and global trading regulations.
• Experience with surveillance systems and position limit frameworks.

Responsibilities

• Monitor trading activity for market abuse and regulatory violations.
• Conduct compliance testing and maintain internal policies.
• Support responses to regulatory inquiries and audits.

Skills

Trade Surveillance

Position Limit Monitoring

Compliance Testing

Data Analysis

Communication Skills

Education

Bachelor's Degree in Finance

Bachelor's Degree in Economics

Bachelor's Degree in Legal Studies

Tools

SMARTS

Actimize

Eventus

Excel

SQL

Python

Job description

BHFT is a proprietary algorithmic trading firm. Our team manages the full trading cycle, from software development to creating and coding strategies and algorithms.

Our trading operations cover key exchanges. The firm trades across a broad range of asset classes, including equities, equity derivatives, options, commodity futures, rates futures, etc. We employ a diverse and growing array of algorithmic trading strategies, utilizing both High-Frequency Trading (HFT) and Medium-Frequency Trading (MFT) approaches.
Looking ahead, we are expanding into new markets and products. As a dynamic company, we continuously experiment with new markets, tools, and technologies.

We’ve got a team of 200+ professionals, with a strong emphasis on technology—70% are technical specialists in development, infrastructure, testing, and analytics spheres. The remaining part of the team supports our business operations, such as Risks, Compliance, Legal, Operations and more.
Our employees are located all around the world, from the United States to Hong Kong. Although we maintain office spaces, we currently operate as a 100% remote organization.

At BHFT, we cultivate a culture that emphasizes open communication, professional excellence, and a strong commitment to maintaining the highest standards of compliance. As a fully remote organization with a team of over 200+ professionals worldwide, including a dedicated Compliance function, we prioritize transparency, security, and adherence to strict regulatory standards.

We are seeking a highly motivated and detail-oriented Compliance Associate with experience in trade surveillance, position limit monitoring, and compliance testing. The ideal candidate will play a key role in supporting the firm’s regulatory compliance efforts related to futures and equities trading on global exchanges.

Job Description

Monitor and review trading activity for potential market abuse, manipulative behavior, or other regulatory violations using surveillance tools.

Investigate alerts and escalate potential issues to senior compliance leadership.

Track and monitor firm and client positions to ensure compliance with exchange and regulatory position limits.

Liaise with internal stakeholders and exchanges to resolve issues and ensure adherence to applicable limits.

Compliance Testing & Controls:

Conduct periodic testing to ensure the firm’s policies and procedures are followed, particularly around surveillance, trade reporting, and position management.

Assist in the development and execution of the annual compliance testing plan.

Policy & Procedure Review:

Maintain and update internal compliance policies in response to regulatory developments.

Assist with training staff on compliance policies and regulatory changes.

Regulatory Support:

Support responses to regulatory inquiries and audits.

Prepare documentation and reports for internal and external stakeholders as needed.

Qualifications

• Bachelor’s degree in Finance, Economics, Legal Studies, or a related field.
• 3+ years of experience in a compliance or trade surveillance role at a broker-dealer, asset manager, or futures commission merchant (FCM).
• Strong understanding of U.S. and global trading regulations (CFTC, SEC, FINRA, NFA, and international equivalents).
• Familiarity with surveillance systems (e.g., SMARTS, Actimize, Eventus, or similar platforms).
• Experience with position limit frameworks and exchange rules across major global markets.

Additional Information

• Experience with both futures and equities markets.
• Working knowledge of algorithmic trading, order types, and market structure.
• Previous involvement in regulatory exams or inquiries.
• Proficiency in data analysis (Excel, SQL, Python a plus).
• Strong written and verbal communication skills.