Our client, a quantitative trading firm, is seeking a smart and motivated Algorithmic Trading Senior Compliance Officer for its New York office.
The successful candidate will join the firm’s Compliance team and assist with the US Compliance program. Reporting to the Global Head of Compliance, the appointee will have strong knowledge of US regulation and will understand its application to algorithmic trading.
Responsibilities will include, but are not limited to:
Development and maintenance of the firm’s compliance policies and procedures
Ongoing auditing of the compliance program
Proactive researching of new regulations which could be implemented in the firm’s compliance programs
Assistance in responding to inquiries from regulators
Providing compliance guidance as required
Conducting compliance risk assessments
A Bachelor’s degree or any other relevant work experience
Around 5-10 years of trading compliance experience
Solid knowledge of US regulation
FINRA Series 7/57/24 required
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.