Compliance Officer

Flow Traders; New York (NY); On-site; USD 95,000 - 130,000; Full time

Job summary

Flow Traders is seeking a Compliance Officer in New York to lead KYC/AML and employee compliance programs. You will review onboarding of institutional counterparties, investigate alerts across risk areas, and support policy development, reporting to the Chief Compliance Officer. Strong writing, analytical, and organizational skills are essential.

Minimum three years in AML/KYC or broker-dealer compliance. Familiarity with vendors like World-Check One, ACA ComplianceAlpha, Salesforce, Smarsh,

Qualifications

• At least three years of AML/KYC or broker-dealer compliance experience.
• Integrity and sound judgment handling sensitive information.
• Strong writing and documentation skills.
• Excellent organizational skills and attention to detail.
• Familiarity with third-party vendors such as World-Check One, ACA ComplianceAlpha, Salesforce, Smarsh, Bloomberg Vault, and Microsoft Purview is a plus.
• Python and/or SQL knowledge is a plus.

Responsibilities

• Onboard and review new institutional counterparties and perform periodic updates.
• Review and investigate compliance alerts across risk areas and document findings.
• Manage employee access to third-party trading, clearing, and compliance platforms.
• Support the broader employee compliance program and onboarding/terminations processes.
• Assist with Implementing and disseminating Written Supervisory Procedures and strengthening the program.
• Support the CCO with day-to-day functions and global compliance initiatives.

Skills

AML/KYC knowledge

Strong writing

Analytical mindset

Attention to detail

Problem solving

Self-motivation

Prioritization

Communication & collaboration

Tools

World-Check One

ACA ComplianceAlpha

Salesforce

Smarsh

Bloomberg Vault

Microsoft Purview

Job description

Flow Traders is looking for a Compliance Officer to join our Compliance team in New York. The ideal candidate is self-motivated with a strong analytical and problem-solving mentality. This is a unique opportunity to join a leading proprietary trading firm with an entrepreneurial and innovative culture at the heart of its business. We value quick-witted, creative minds and challenge them to make full use of their capacities.

This Compliance Officer will play a central role in the Know Your Customer ("KYC") / Anti-Money Laundering ("AML") program as well as the firm's employee compliance program. Responsibilities span reviewing and onboarding institutional counterparties, investigating alerts across a wide range of risk areas including personal trading, sanctions and negative news, electronic communications, and exchange registrations, and supporting the full lifecycle of employee compliance obligations. This position offers broad exposure across the compliance function, close collaboration with the Chief Compliance Officer ("CCO"), and the opportunity to help shape and strengthen policies and procedures as the firm grows.

What you will do

• Collect, review, and document new institutional counterparty onboardings and periodic updates
• Review and investigate compliance alerts across a broad range of areas including personal trading, sanctions/negative news, electronic communications, and exchange registrations, among others — documenting findings in clear, well-supported case notes
• Manage employee access to third-party trading, clearing, and compliance platforms
• Support the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education
• Assist with the implementation and dissemination of Written Supervisory Procedures, identifying opportunities to strengthen the compliance program and promoting a culture of compliance across the organization
• Support the CCO with day-to-day functions and compliance projects, including shared ownership of global Compliance initiatives

What you need to succeed

• At least three years of relevant experience in AML/KYC and/or broker-dealer compliance strongly preferred
• Mature, professional, and of unquestionable integrity, exercising excellent judgment when handling sensitive information
• Strong writing skills, with the ability to translate facts and analysis into clear, well-organized case notes and alert documentation
• Strong organizational skills with high attention to detail
• Process-based approach to problem-solving, with the ability to develop informed and concrete proposals
• Motivated self-starter who can manage competing priorities and thrive in a fast-paced environment
• Familiarity with third-party vendors such as World-Check One, ACA ComplianceAlpha, Salesforce, Smarsh, Bloomberg Vault, and Microsoft Purview, a plus
• Proficiency in Python and/or SQL, a plus

At Flow Traders, we acknowledge the importance of open and transparent communication whether it be with our employees, our stakeholders, or our local and global communities. When it comes to salary, Flow Traders uses reliable market research to create base ranges. Where candidates will fall within the range depends on a few different factors including but not limited to level of experience, location, and specific skill set. We also consider ourselves one global team, and to demonstrate that, all employees are eligible to share in the company’s success through an annual discretionary variable remuneration allocated based on company, group and individual performance and contribution.

Per NYC salary transparency law, the total compensation for this role includes a base range of $95,000 to $130,000 plus annual discretionary variable remuneration.

What We Offer

No matter where you’re based, we offer great perks and benefits.

Attractive Compensation

Remuneration package comprised of a base salary and a discretionary variable component.

Continuous Learning and Development

Dedicated academy with endless personal and functional development opportunities.

Exceptional Events and Social Activities

Annual company trip, holiday parties, family and sports events. There is something for everyone!

Employee Foundation

Volunteer programs for employees and charity support initiatives through the Flow Traders Foundation.

Global Rotations Opportunities

Opportunities to work in different locations to support personal growth within the company and develop your career.

Great Global Locations

Vibrant working environments, furnished with lounges, bars, gaming areas and offering lunches and coffee.

Wellness and Healthy Culture

Active lifestyle promoted by offering sports, healthy food and wellbeing programs.

Working with Great Minds

Informal working environment, with a focus on direct and open communication, entrepreneurial spirit and a driven atmosphere.