Volant Trading

  • Compliance Officer

    Job Locations US-NY-New York
    ID
    2018-1156
    # of Openings
    1
    Category
    Compliance
  • Overview

    Volant is a technology-driven trading firm made up of a close-knit group of quantitative traders and technologists.  For over 10 years we have specialized in automated options, futures, and equities trading from our offices in New York, Chicago, and Hong Kong. We pride ourselves on our entrepreneurial culture, flat hierarchy, and cross team collaboration.

    This is full-time opportunity for a Compliance Officer who will assist the CCO on a variety of compliance tasks.

    Responsibilities

    • Assist with building and improving the Firm’s electronic surveillance system
    • Daily regulatory surveillance of Firm and customer trading
    • Assist with setting customer trading limits
    • Conduct customer AML/KYC reviews
    • Conduct comprehensive internal compliance reviews
    • Respond to regulatory inquiries and audits
    • Draft and update the firm’s policies and procedures
    • Communicate with SROs, regulatory bodies, and legal counsel
    • Communicate with traders and developers
    • Actively monitor regulatory developments

    Qualifications

    • Compliance experience in an electronic trading environment
    • Experience with regulatory surveillance
    • Experience with clearing
    • Experience with AML and KYC rules and regulations
    • Background working in, or subject to, the rules of the SEC, CFTC, FINRA, and CBOE
    • Familiar with Linux
    • Familiar with SQL Databases
    • BA/BS
    • Series 7 or 57
    • 2+ years related experience

    Helpful/Preferred:

    • Experience in a trading firm:  HFT / Prop / market making / derivatives
    • Proficiency in some scripting languages such as Python, shell, etc.

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