Senior Compliance Officer, Trading & Regulatory Oversight

Anonymous; New York (NY); On-site; USD 120,000 - 170,000; Full time

Job summary

Anonymous, a leading trading firm in New York, is seeking a Compliance Officer to work closely with the CCO. The role supports the firm's compliance program, including filings, policies, training, and ongoing oversight of regulatory obligations.

The successful candidate will gain broad exposure to compliance matters in a fast-paced trading environment, partnering with internal stakeholders to strengthen processes and governance.

Qualifications

• Bachelor's degree in finance, law, or related field.
• 7-15 years of compliance experience at an SEC-regulated investment adviser or trading firm.
• Strong understanding of SEC and FINRA regulations and compliance requirements.
• Experience with regulatory filings, policies, procedures, and monitoring.
• Detail-oriented, proactive communicator with strong organizational skills.

Responsibilities

• Maintain and enhance compliance policies, procedures, and governance frameworks.
• Support regulatory filings, reporting, and ongoing SEC/FINRA obligations.
• Monitor regulatory developments and implement changes.
• Coordinate compliance training, documentation, and supervisory reviews.
• Support regulatory examinations, audits, and risk assessments.
• Partner with internal stakeholders to strengthen compliance processes.

Skills

Regulatory compliance

Policy governance

Regulatory filings

Training coordination

Stakeholder collaboration

Attention to detail

Organizational skills

Clear communication

Education

Bachelor's degree in finance, law, or related field

Job description

Anonymous, a leading trading firm in New York, is seeking a Compliance Officer to work closely with the CCO. The role supports the firm's compliance program, including filings, policies, training, and ongoing oversight of regulatory obligations.

The successful candidate will gain broad exposure to compliance matters in a fast-paced trading environment, partnering with internal stakeholders to strengthen processes and governance.