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Hudson River Trading · 4 hours ago

Head of Central Compliance, Americas

New York, NY

Full-time

Onsite

Director/Executive

$200K/yr - $300K/yr

10+ years exp

Hudson River Trading (HRT) is seeking a Head of Central Compliance to join their Americas Compliance team in New York City. The role involves leading the compliance program across the Americas, managing anti-money laundering initiatives, and overseeing regulatory engagement and reporting efforts.

Financial Services

Growth Opportunities

Responsibilities

Manage HRT’s anti-money laundering program (including policies, procedures, third-party KYC/onboarding screening, and annual independent reviews) and Sanctions compliance

Oversee the design and implementation of HRT’s personal account dealing platform and processes

Develop and implement regulatory registrations processes and track associated continuing education deadlines

Design and enforce information barrier controls

Document and maintain compliance with books and records requirements

Coordinate and execute HRT’s Compliance training program

Design and implement HRT’s Compliance policy governance framework and platform, including periodic reviews and updates

Lead the firm’s periodic Compliance risk assessments and identify associated testing priorities

Oversee periodic testing of HRT’s written supervisory procedures and Compliance policies

Manage required annual compliance reviews and certifications, including pursuant to FINRA Rules 3110, 3120, 3130, and SEC Rule 15c3-5

Track and socialize key regulatory developments and scan the horizon for regulatory changes

Manage regulatory exams, including coordinating requests, tracking internal submissions, and formulating responses

Establish and maintain the regulatory inquiries process, including triaging, assignment, deadline tracking, and database maintenance

Oversee compliance with routine regulatory reporting obligations, including Electronic Blue Sheets, Schedules 13F and 13H, Form 17-H, Form SHO, SLATE, and CAIS

Draft and submit event-driven regulatory reports and notices such as net capital withdrawal notifications, Rule 4530, Section 16 filings, and Schedules 13G and 13D

Complete compliance aspects of counterparty due diligence questionnaires

Qualification

U.S. broker-dealer regulationsCompliance program managementAnti-money launderingConsolidated Audit Trail (CAT)Regulatory reportingTechnology utilizationTeam leadershipCommunication skillsOrganizational skills