Flow Traders · 2 days ago
Compliance Officer
New York, NY
Full-time
Onsite
Mid, Senior Level
$120K/yr - $185K/yr
5+ years expFlow Traders is a dynamic trading firm seeking a Compliance Officer to enhance their compliance program. This role involves monitoring regulatory developments, providing advisory on compliance risks, and leveraging technology to automate compliance processes.
Financial ServicesSoftwareStock ExchangesTrading Platform
Hiring Manager
Michael Mancuso
Responsibilities
Monitor regulatory developments and update Written Supervisory Procedures (WSP) and internal controls
Provide day-to-day advisory on market rules, practices, and compliance risks; translate regulations into actionable business requirements for new products and venues
Operate and enhance monitoring and surveillance controls designed to mitigate compliance and operational risk
Leverage in-house technology and third-party solutions to automate compliance processes; write and test code to deliver innovative monitoring and control-testing solutions
Design, execute, and govern an auditable automation framework (version control, testing, change management, documentation)
Assist in oversight of regulatory reporting obligations (e.g., CAT, CAIS, TRF, TRACE, MSRB), as applicable
Draft responses to regulatory inquiries, examinations, and requests
Qualification
Required
5-10 years in regulatory, compliance, or legal roles; or with demonstrable experience building compliance automation in Python/SQL
Undergraduate degree in Engineering, Computer Science, Finance, Economics, Business, Law, or related field
Knowledge of SEC, FINRA, CFTC, NFA, and exchange rules and their applicability to firm and employee activities
Familiarity with trading and markets across ETFs, equities, futures, fixed income, and/or digital assets
Strong communication and interpersonal skills; results-driven, self-motivated, and able to manage competing priorities in a fast-paced environment
Strong proficiency in Excel, SQL; VBA optional
Python experience with version control (e.g. BitBucket), testing, and documentation for compliance automation, a plus
Preferred
Series 7 preferred, or willingness to obtain 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