Job Description
Compliance Officer
Full-time
Company Description
We are a global algo trading company fully dedicated to technology. Our brilliant team comprises 100+ individuals scattered across the globe. Seventy percent of our team members are technical specialists, encompassing development, infrastructure, testing, and analytics, while the rest comprise business units, including operations, legal, finance, etc.
Job Description
Develop and implement electronic trading compliance policies and procedures to ensure adherence to regulatory requirements. Monitor trading activities to ensure compliance with relevant regulations and internal standards. Collaborate with internal stakeholders to ensure that trading systems are designed and implemented in a compliant manner. Provide guidance and advice to trading business units and technology teams on compliance-related matters. Conduct compliance training for trading staff and management to foster a culture of compliance. Perform risk assessments and implement controls to mitigate trading compliance risks. Investigate compliance issues and provide recommendations for resolution, maintaining thorough documentation of findings. Work closely with regulators and external auditors to ensure that trading activities comply with relevant rules and regulations. Stay informed of changes in electronic trading regulations and industry best practices, ensuring the organization adapts accordingly. Prepare and submit compliance reports to senior management and regulatory bodies as required. Support the Chief Compliance Officer in executing the compliance strategy and initiatives.
Qualifications
Proven experience in a compliance role within the financial services sector or a related field, with a focus on electronic trading. Strong knowledge of regulatory frameworks and compliance best practices related to electronic trading. Excellent analytical skills with a keen eye for detail and the ability to assess complex situations. Proven ability to develop and implement effective compliance programs and policies. Strong communication skills, capable of articulating complex regulatory concepts to diverse audiences. Proficiency in compliance-related software and tools, experience working with electronic trading systems and technology is a must
Additional Information
Bachelor’s degree in Finance, Law, Business Administration, or a related field; advanced degree or professional certifications (e.g., CRCM, CAMS) are a plus. Experience with risk management and compliance monitoring systems in the context of electronic trading. Strong problem-solving skills and the ability to work independently and as part of a team. A track record of successfully managing compliance projects and initiatives. Experience in CFTC and Market Abuse Directive rules/regulations as well as algo/HFT trading Experience in trade surveillance is a plus Experience in developing and implementing compliance policies and procedures. Negotiation and interaction skills with regulators and counterparties. Ability to assess and monitor risks and implement management strategies.
Compliance Officer
Dubai, United Arab Emirates * Full-time
