Compliance Officer

Neutral Street; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Neutral Street in New York seeks an experienced compliance professional to ensure trading activities consistently meet regulatory requirements across multiple jurisdictions. The role focuses on monitoring activity for breaches and advising on constraints during strategy development.

You will draft and update internal policies, procedures, and liaise with regulators (SEC, CFTC, FINRA) during audits and inquiries while upholding the highest standards of integrity and risk management.

Qualifications

• 5+ years of compliance experience at a broker-dealer or proprietary trading firm.
• Deep knowledge of SEC and FINRA rules.
• Strong analytical skills and attention to detail.

Responsibilities

• Monitor trading activity for potential market abuse or regulatory breaches
• Advise traders and engineers on regulatory constraints during strategy development
• Draft and update internal compliance policies and procedures
• Liaise with regulators (SEC, CFTC, FINRA) during audits and inquiries

Skills

Regulatory compliance

Analytical skills

Attention to detail

Job description

Ensure the firm's trading activities comply with all relevant regulations across multiple global jurisdictions.

Responsibilities

• Monitor trading activity for potential market abuse or regulatory breaches
• Advise traders and engineers on regulatory constraints during strategy development
• Draft and update internal compliance policies and procedures
• Liaise with regulators (SEC, CFTC, FINRA) during audits and inquiries

Requirements

• 5+ years of compliance experience at a broker-dealer or proprietary trading firm
• Deep knowledge of SEC and FINRA rules
• Strong analytical skills and attention to detail