Head of Central Compliance, Americas
Head of Central Compliance, Americas
Head of Central Compliance, Americas
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Hudson River Trading (HRT) is looking for a Head of Central Compliance to lead their Compliance team in New York City. This role involves overseeing the compliance program across the Americas, focusing on anti-money laundering, regulatory registrations, and compliance training, while leveraging technology for scalable solutions.
Qualification
- Broad and deep knowledge of general U.S. broker-dealer regulations.
- Strong commitment to leveraging technology for scalable solutions.
- Experience with Consolidated Audit Trail (CAT) is a significant plus.
- Ability to manage regulatory exams and coordinate requests.
- Experience in drafting and submitting regulatory reports and notices.
Responsibility
- Manage HRT’s anti-money laundering program including policies, procedures, and third-party KYC/onboarding screening.
- Oversee the design and implementation of HRT’s personal account dealing platform and processes.
- Develop and implement regulatory registrations processes and track associated continuing education deadlines.
- Design and enforce information barrier controls.
- Document and maintain compliance with books and records requirements.
- Coordinate and execute HRT’s Compliance training program.
- Design and implement HRT’s Compliance policy governance framework and platform, including periodic reviews and updates.
- Lead the firm’s periodic Compliance risk assessments and identify associated testing priorities.
- Manage required annual compliance reviews and certifications, including pursuant to FINRA Rules 3110, 3120, 3130, and SEC Rule 15c3-5.
