Compliance Officer

Virtu is a leading financial firm that leverages cutting edge technology to deliver liquidity to the global markets and innovative, transparent trading solutions to our clients. As a market maker, Virtu provides deep liquidity that helps to create more efficient markets around the world. Our market structure expertise, broad diversification, and execution technology enables us to provide competitive bids and offers in over 19,000 securities, at over 235 venues, in 36 countries worldwide.​

The Virtu Legal and Compliance team is looking for an experienced, self-driven Compliance Officer to join the team. The Compliance Officer will play an important role in shaping Virtu's Compliance function through innovation, analytical thinking and a desire to improve upon existing processes. This role will require interest and ability to work across several Compliance areas, manage multiple deadlines and interact with internal and external stakeholders. 

The Compliance Officer works closely with business functions to provide advice, conduct surveillances, investigate issues and develop sustainable corrective actions. The ideal candidate will be an exceptional communicator who will serve as the face of the Compliance team both internally and externally and is comfortable working directly with all levels of management.  A successful candidate will be a person who identifies issues and creates solutions without rigid direction or fanfare. The candidate will be a highly motivated and tenacious individual, with a proven ability to take initiative, working both independently and within a team.

Responsibilities 

• Provide subject matter compliance advisory for a fintech that provides execution services, operates alternative trading systems, and makes markets across an array of financial instruments.
• Works closely with key stakeholders in the business, operations, risk, technology and finance teams to ensure robust compliance policies and procedures are in place.
• Develop and perform surveillance and supervisory reviews.
• Conduct AML due diligence and respond to AML/KYC inquiries from third parties
• Respond to regulatory inquiries by gathering data, conducting stakeholder interviews and performing analyses to inform a narrative response.
• Perform regulatory review and reporting
• Drive compliance innovation initiatives with a focus on greater automation and increased efficiency.
• Communicate with regulators and other external parties (verbal and written) in connection with inquiries, exams, rule-making initiatives and outreach

Experience & Qualifications  

• Bachelor’s Degree or Commensurate Experience.
• Post-Graduate Degree a Plus.
• 2-4 years of experience with a financial services firm, Fin-Tech, regulator, audit firm or commensurate experience.
• Strong working knowledge of broker-dealer regulation, including securities and commodities laws, agency/client trading, the SFC, ASIC or MAS’ capital markets regulations and guidance.
• Strong communication and interpersonal skills.
• Self-starter and team player who is comfortable working in a fast paced environment and a relatively flat organization.
• Familiarity with equities, options, fixed income, currency, commodities, futures, fx, swaps and forwards, crypto currencies.
• Knowledge of computer programming languages, database administration, and network architecture to assist with such matters as trade reviews and gathering data a plus.
• Trading and back office experience a plus.