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Compliance Officer

  • Location:

    New York

  • Sector:


  • Job type:


  • Contact:

    Ali Hughes

  • Contact email:

  • Contact phone:

    +1 332 256 0130

  • Job ref:


  • Published:

    about 1 year ago

  • Expiry date:


Our Client

A leading high frequency trading firm is looking for a Compliance Officer to join their New York compliance team.

This firm trade a variety of asset classes including equities, options, fixed income, futures, FX and Crypto.

Main Duties

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

  • Providing real-time compliance advice to trading teams

  • Review and advise on new product requests

  • Maintain and execute the firm’s compliance programs

  • Monitor regulatory developments and advise relevant teams on the impact of the regulations.

  • Produce new compliance policies and procedures

  • Review escalated surveillance alerts from the central surveillance team

  • Lead on global compliance projects and strategic initiatives

Your Profile

  • 7+ years of compliance experience within a US broker dealer

  • Working knowledge of electronic trading in a variety of asset classes, including equities, equity options, futures, fixed income, foreign currency, and cryptocurrency

  • Strong compliance advisory experience

For more information about this position, please get in touch with Ali Hughes.
Phone: +1 332 256 0130
Reference Code: 11600

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, 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.