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Compliance Officer

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    +1 212 292 3804

  • Job ref:

    BAJ11373_5

  • Published:

    15 days ago

  • Expiry date:

    2022-06-10

​Our Client

Our client, a leading high-frequency trading firm with daily trading volume beyond £1bn, is looking for a Compliance Officer with a surveillance background. The firm have a number of different business lines, including strong coverage of digital assets.

You will work closely with the Chief Compliance Officer and help build out their compliance infrastructure.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Main global point of contact for surveillance, including trade and communications.

  • Review, analyze and advise on trading alerts

  • Enhance new compliance controls around trading and surveillance.

  • Advise the investment and sales teams on compliance requirements

  • Develop new compliance policies and procedures for the firm

  • Provide ad hoc compliance support to the global compliance team

  • Help implement new electronic communications surveillance systems

  • Prepare analysis and reports for senior management

Your Profile

  • Strong experience within trade or market surveillance from either an investment bank, broker/dealer or digital assets firm

  • 3 - 6 years of surveillance or compliance experience

  • Strong verbal and written communication skills

For more information about this position, please get in touch with Jackson Baker.
Email: jackson@rutherfordsearch.com
Phone: +1 212 292 3804
Reference Code: 11373


About Rutherford
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 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.