Da Vinci · 13 hours ago
Compliance Officer
Miami, FL
Full-time
Onsite
Mid, Senior Level
$150K/yr - $150K/yr
3+ years expDa Vinci is a unique proprietary trading firm specializing in market making, volatility trading and arbitrage across major global exchanges. As a Compliance Officer in our Miami office, you will support the firm’s U.S. proprietary broker-dealer and trading operations, ensuring compliance with FINRA, SEC, and U.S. exchange rules in a fast-paced trading environment.
FinanceFinancial ServicesStock Exchanges
Responsibilities
Provide day-to-day compliance guidance and regulatory interpretations to trading and business teams
Develop, perform, and review trade surveillance and compliance monitoring reports for electronic trading activity
Draft, maintain, and enhance compliance policies, procedures, and Written Supervisory Procedures (WSPs)
Assist with regulatory examinations, audits, and responses to FINRA, SEC, and U.S. exchange inquiries
Identify, assess, and help mitigate compliance risks related to proprietary broker-dealer activities and operations
Monitor regulatory developments and translate new rules into practical guidance for internal stakeholders
Design and deliver compliance training for broker-dealer employees
Collaborate with Risk, Finance, Mid-Office, and Technology teams on cross-functional initiatives and control enhancements
Qualification
Required
3–7 years of experience in a compliance role within a financial services firm, proprietary trading firm, or exchange
Strong working knowledge of FINRA, SEC, and U.S. exchange rules (e.g., Nasdaq, NYSE, Cboe)
Proven experience drafting, reviewing, and maintaining internal policies and WSPs
Working knowledge of electronic trading and market structure, including equities and index options
Experience with trade surveillance, alerts, and regulatory inquiries related to market conduct
Strong analytical, research, and problem-solving skills
Excellent verbal and written communication skills, with the ability to explain complex regulatory topics clearly
Ability to work independently while collaborating across multiple departments and geographies
Bachelor's degree required
Preferred
FINRA licenses (Series 14, Series 24 and Series 7) preferred but not required
Benefits
Opportunity to work alongside experienced professionals in electronic trading and market making
Attractive variable compensation based on individual and company performance
Equity participation for outstanding performance
Comprehensive relocation package, including temporary housing and moving cost coverage
Possibility to visit Amsterdam to collaborate with global colleagues
Comprehensive benefits package, including medical, dental, and vision coverage
25 days of paid vacation annually
Meals provided during work hours
Regular social events and after-work gatherings
Company
Da Vinci
Da Vinci is a proprietary trading company.
51-200 employees
Funding
Current Stage
Growth StageRecent News
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