linkedin

Back to job search

Compliance Officer

  • Location:

    New York

  • Sector:

    Compliance

  • Salary:

    $175,000 - $225,000

  • Contact:

    Lucy Phillips

  • Contact email:

    lucy@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0130

  • Job ref:

    PHL11921_1

  • Published:

    10 months ago

  • Expiry date:

    2023-10-05

​Our Client

Our client, a high frequency trading firm, is currently seeking a Compliance Officer to join its New York office.

Reporting into the Head of Compliance, the successful candidate will be implementing the compliance programme, monitor the firm's activities and take part in the implementation and improvement of processes which will enable the firm to meet regulatory requirements.

Main Duties

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

  • Advise the business on regulatory guidance and rules

  • Be the SME on compliance internally and answer queries as required

  • Deliver compliance training to members of staff

  • Keep abreast of regulatory updates and inform the business on the impact of these changes

  • Oversee regulatory reporting

Your Profile

  • Between 5 to 10 years of experience in compliance

  • Also essential for this position; experience in equities trading compliance, regulatory reporting and electronic trading

Basic salary range for this position is $175,000 - $225,000

For more information about this position, please get in touch with Lucy Phillips.
Email: lucy@rutherfordsearch.com
Phone: +1 332 256 0130
Reference Code: 11921

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are 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, New York and China. 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.