This Compliance Officer will play a central role in the Know Your Customer ("KYC") / Anti-Money Laundering ("AML") program as well as the firm's employee compliance program. Responsibilities span reviewing and onboarding institutional counterparties, investigating alerts across a wide range of risk areas including personal trading, sanctions and negative news, electronic communications, and exchange registrations, and supporting the full lifecycle of employee compliance obligations. This position offers broad exposure across the compliance function, close collaboration with the Chief Compliance Officer ("CCO"), and the opportunity to help shape and strengthen policies and procedures as the firm grows.
What you will do- Collect, review, and document new institutional counterparty onboardings and periodic updates
- Review and investigate compliance alerts across a broad range of areas including personal trading, sanctions/negative news, electronic communications, and exchange registrations, among others - documenting findings in clear, well-supported case notes
- Manage employee access to third-party trading, clearing, and compliance platforms
- Support the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education
- Assist with the implementation and dissemination of Written Supervisory Procedures, identifying opportunities to strengthen the compliance program and promoting a culture of compliance across the organization
- Support the CCO with day-to-day functions and compliance projects, including shared ownership of global Compliance initiatives
What you need to succeed- At least three years of relevant experience in AML/KYC and/or broker-dealer compliance strongly preferred
- Undergraduate degree in Finance, Economics, or Business
- Mature, professional, and of unquestionable integrity, exercising excellent judgment when handling sensitive information
- Strong writing skills, with the ability to translate facts and analysis into clear, well-organized case notes and alert documentation
- Strong organizational skills with high attention to detail
- Process-based approach to problem-solving, with the ability to develop informed and concrete proposals
- Motivated self-starter who can manage competing priorities and thrive in a fast-paced environment
- Familiarity with third-party vendors such as World-Check One, ACA ComplianceAlpha, Salesforce, Smarsh, Bloomberg Vault, and Microsoft Purview, a plus
- Proficiency in Python and/or SQL, a plus
At Flow Traders, we acknowledge the importance of open and transparent communication whether it be with our employees, our stakeholders, or our local and global communities. When it comes to salary, Flow Traders uses reliable market research to create base ranges. Where candidates will fall within the range depends on a few different factors including but not limited to level of experience, location, and specific skill set. We also consider ourselves one global team, and to demonstrate that, all employees are eligible to share in the company's success through an annual discretionary variable remuneration allocated based on company, group and individual performance and contribution.
Per NYC salary transparency law, the total compensation for this role includes a base range of $95,000 to $130,000 plus annual discretionary variable remuneration.
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