Senior Compliance Analyst
EarnestSalary not specified
Full Time
Junior (1 to 2 years)
Not SpecifiedCompensation
Senior (5 to 8 years)Experience Level
Full TimeJob Type
UnknownVisa
Financial Services, Proprietary TradingIndustries
Requirements
- 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
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
Skills
Key technologies and capabilities for this role
Questions & Answers
Common questions about this position
What is the location for this Compliance Officer role?
The position is based in New York and requires joining the Compliance team there.
What is the salary or compensation structure?
Flow Traders uses reliable market research to create base ranges based on experience, location, and skill set, with all employees eligible for annual discretionary variable remuneration.
What technical skills are required for this role?
Expertise in Excel, VBA, SQL, and Python is required, along with knowledge of SEC, FINRA, CFTC, NFA rules and familiarity with trading across various asset classes.
What is the company culture like at Flow Traders?
Flow Traders has an entrepreneurial and innovative culture that values quick-witted, creative minds and challenges them to make full use of their capacities in a fast-paced environment.
What experience and qualifications make a strong candidate?
Candidates need 5-10 years of relevant experience in trading or broker-dealer compliance, an undergraduate degree in a relevant field like Engineering, Computer Science, Finance, or Law, strong technical skills, and a Series 7 license or willingness to obtain it.
Flow Traders
Global liquidity provider for financial markets
About Flow Traders
Flow Traders is a global liquidity provider that focuses on Exchange Traded Products (ETPs) and is expanding into other asset classes. The company operates in major financial markets across the Americas, APAC, and EMEA regions. It utilizes a proprietary technology platform to set bid and ask prices for thousands of ETP listings and similar financial products, which helps ensure there are enough buyers and sellers in the market, facilitating easier trading for investors. Flow Traders primarily serves institutional clients, such as hedge funds and asset managers, who depend on their efficient trading services. The company earns profits by taking a small margin on a large volume of trades, capitalizing on their advanced technology and market knowledge to maintain a competitive edge. Additionally, Flow Traders is dedicated to corporate social responsibility, aiming to create shared value in economic, social, and environmental aspects.
Amsterdam, NetherlandsHeadquarters
2004Year Founded
IPOCompany Stage
Fintech, Financial ServicesIndustries
501-1,000Employees
Benefits
Medical, Vision, Dental Insurance coverage
401(k) plan with generous match
In-house lounge with a bar, game consoles, poker & billiards tables
Daily catered lunch, cold brew coffee on tap and a fully stocked kitchen
Weekly table massages and bi-weekly haircuts
Annual company trip and a variety of events throughout the year
Reimbursed gym membership or home equipment and other wellness initiatives
Global rotations between our offices worldwide
Flow Academy for continuous learning and opportunities to attend industry seminars and conferences
Risks
Rising competition from new digital asset exchanges challenges Flow Traders' market position.
Self-custodial trading platforms may reduce reliance on traditional liquidity providers.
Advanced cryptographic protocols could disrupt traditional data-sharing methods in financial markets.
Differentiation
Flow Traders specializes in Exchange Traded Products, expanding into diverse asset classes.
The company uses proprietary technology to provide liquidity in global financial markets.
Flow Traders invests in financial market innovators, enhancing transparency and efficiency.
Upsides
Growing interest in digital asset trading boosts demand for liquidity providers like Flow Traders.
Expansion into emerging technologies aligns with Flow Traders' strategic agenda.
Increased digitization in equity markets enhances market efficiency, benefiting Flow Traders.
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