Flow Traders · 3 months ago
Compliance Officer
New York
Full-time
Onsite
Mid, Senior Level
$145K/yr - $185K/yr
5+ years expFlow Traders is a leading proprietary trading firm known for its entrepreneurial and innovative culture. They are seeking a Compliance Officer to design and implement automated compliance controls, conduct trading reviews, and perform trade surveillance to ensure regulatory obligations are met across various asset classes and jurisdictions.
Financial ServicesSoftwareStock ExchangesTrading Platform
Responsibilities
Leverage in-house technology and third-party solutions to automate compliance processes
Write and test code to provide innovative solutions for monitoring and testing of compliance controls
Build and execute an automation framework that is auditable and has effective governance
Perform monitoring controls related to regulatory obligations that are designed to mitigate various types of compliance and operational risk
Collaborate across the Firm to manage processes pursuant to regulatory and business requirements
Qualification
Required
5-10 years of relevant working experience in a trading-related environment and/or broker-dealer compliance
Undergraduate degree in Engineering, Computer Science, Finance, Economics, Business, Law or related
Expertise in Excel, VBA, SQL, and Python
Knowledge of SEC, FINRA, CFTC, NFA and/or exchange rules and applicability of the rules to firm activities
Familiarity with trading across ETFs, equities, futures, fixed income or digital assets
Results-driven individual capable of completing full lifecycle process enhancements and driving end-to-end improvements
Strong communication and interpersonal skills
Motivated self-starter who can handle competing priorities and work effectively in a challenging, fast-paced environment
Series 7 license or willingness to obtain it shortly after joining
Benefits
Annual discretionary variable remuneration
Company
Flow Traders
Flow Traders is a technology-driven liquidity provider and market maker.
501-1000 employees
H1B Sponsorship
Flow Traders has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2024 (4)
2023 (3)
2022 (7)
2021 (3)
2020 (1)
Funding
Current Stage
Public CompanyTotal Funding
$275MKey Investors
Summit Partners
2025-10-30Post Ipo Debt· $275M
2015-07-10IPO
2008-06-05Private Equity
Leadership Team
Owain Lloyd
Chief Technology Officer, Executive Director and member of the Management Board
Hermien Smeets-Flier
CFRO
Recent News
2025-12-11
Flow Traders Ltd
2025-10-31
Company data provided by crunchbase