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Compliance Officer

New York

Flow Traders is seeking a Compliance Officer in New York to support our multi-asset, fast‑paced trading environment. Reporting to the Chief Compliance Officer, you will partner with trading, risk, and technology to strengthen the firm’s compliance program across products and markets. You will contribute to monitoring, surveillance, policy development, training, regulatory inquiries, reporting, and business advisory functions of the compliance department.

We value self‑motivated and analytical people who take a practical and effective approach to problems. This role offers broad exposure, autonomy, and the opportunity to shape firm‑wide controls within our entrepreneurial and innovative culture.

Our compliance team is growing with multiple openings at various levels. Even if you don’t meet every requirement, we encourage you to apply. We are actively considering candidates with regulatory, technical, or other relevant backgrounds.

What you will do

  • 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 venus
  • 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

 

What you need to succeed

  • 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
  • Series 7 preferred, or willingness to obtain shortly after joining

 

#LI-MM1

 

At Flow Traders, we acknowledge the importance of open and transparent communication whether it be with our employees, our stakeholders, or our local and global communities. When it comes to salary, Flow Traders uses reliable market research to create base ranges. Where candidates will fall within the range depends on a few different factors including but not limited to level of experience, location, and specific skill set. We also consider ourselves one global team, and to demonstrate that, all employees are eligible to share in the company’s success through an annual discretionary variable remuneration allocated based on company, group and individual performance and contribution. 

Per NYC salary transparency law, the total compensation for this role includes a base range of $120,000 to $185,000 plus annual discretionary variable remuneration.

 

Flow Traders does not accept unsolicited resumes from any professional staffing or search firms. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.

 

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