Senior Compliance Officer
Senior Compliance Officer
Senior Compliance Officer
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Hudson River Trading (HRT) is looking for a Senior Compliance Officer to join their Americas Compliance team in New York City. The role involves providing compliance support for U.S.-listed options and futures businesses, requiring expertise in trading regulations and market structure.
Qualification
- Bachelor’s degree in Finance or related field; J.D. or advanced degree preferred
- 8+ years of compliance experience at a U.S. options market making firm
- Extensive knowledge of U.S. options and futures market structure
- Understanding of regulatory requirements for options market making and proprietary trading
- Knowledge of regulatory reporting requirements, including CAT and Futures Audit Trail
- Familiarity with algorithmic and high-touch trading systems
- Credible relationships with U.S. options regulatory staff
- Strong communication skills for conveying regulatory concepts
Responsibility
- Serve as the primary point of contact for algo, trading, business development, and technology teams regarding compliance matters
- Provide guidance on regulatory requirements related to market making and proprietary trading
- Review and approve new business initiatives and products for compliance
- Assist in the design and review of surveillance reports
- Develop and maintain Written Supervisory Procedures (WSPs) and internal compliance policies
- Conduct compliance trainings
- Assist in compliance risk assessments and reviews
- Investigate and respond to regulatory inquiries and examinations
- Build relationships with regulators
