We are looking for an experienced Compliance Officer to play a vital role in ensuring regulatory compliance across multiple teams, including Trading, Legal, Risk, Finance, and Technology. You will be responsible for managing regulatory filings, conducting trade surveillance, and overseeing compliance functions to ensure the business operates smoothly within US exchange rules.

As the regulatory landscape evolves, you’ll help interpret new rules, update policies, and guide your colleagues in adapting to changes. This company, based out of Europe, has recently opened this new office, so you will have the opportunity to help design the compliance framework of the organization. 

Take the next step in your career and help drive success while ensuring compliance—apply today!

Responsibilities: Compliance Officer - Capital Markets

As a Compliance Officer within this Market Maker, your responsibilities will be:

• Review and enhance compliance policies and procedures to ensure alignment with evolving regulations;
• Provide regulatory guidance and interpret complex rules for various business units, ensuring smooth operational alignment;
• Collaborate on cross-functional projects with departments like Risk, Finance, Mid-Office, and IT Operations to integrate compliance best practices;
• Assist in responding to regulatory exams and inquiries, ensuring timely and accurate communication;
• Develop, implement, and monitor trade surveillance systems, conducting in-depth compliance report reviews;
• Identify, assess, and mitigate compliance risks, ensuring proactive risk management;
• Organize and lead compliance training sessions for broker-dealer employees to ensure thorough understanding of policies and regulatory requirements.

Requirements: Compliance Officer - Capital Markets

In order to succeed in this role, we ask that you have:

• 3-5 years of experience in a similar compliance role within a financial services firm or exchange;
• Experience with maintaining compliance within FINRA, US exchanges, and SEC; 
• Bachelor's Degree;
• Ability to develop and review internal policies and Supervisory Procedures;
• Knowledge of electronic trading in a variety of asset classes;
• Confident and methodical decision maker with the ability to handle multiple projects at once.

The Offer: Compliance Officer - Capital Markets

The salary for this role will be competitive and industry conforming, depending on knowledge level and experience. Additional benefits will be discussed in further detail throughout the interview process. If you feel as though this is a great opportunity for your career development, then let's get in contact!

How we continue: we will let you know within four working days whether you qualify for the position. We schedule an introductory meeting, via phone, digitally or live. In this interview we inform you as fully as possible about the vacancy, the company and the next steps in the procedure. In consultation with you, we introduce you to our client and then continue to guide you through the application process. The Independent Recruiters Group has a large team of specialized recruiters. Every recruiter has a very strong focus on his own field. This makes them the ideal sparring partner for both the candidate and the client.