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About the Role

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. 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.

Responsibilities

• 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

Requirements

• 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

Skills

• AML/KYC
• Broker-dealer compliance
• Writing skills
• Organizational skills
• Attention to detail
• Problem-solving
• Python
• SQL

Location

• New York

Work Type

• Full-time

Experience Level

• Mid-level

Education Level

• Bachelor's degree

Salary/Compensations

• $95,000 to $130,000

Benefits

• Annual discretionary variable remuneration allocated based on company, group and individual performance and contribution

About the Company

• Flow Traders is a leading proprietary trading firm with an entrepreneurial and innovative culture at the heart of its business.
• We value quick-witted, creative minds and challenge them to make full use of their capacities.
• We acknowledge the importance of open and transparent communication whether it be with our employees, our stakeholders, or our local and global communities.
• Flow Traders uses reliable market research to create base ranges for salary.
• We consider ourselves one global team.

Equal Opportunity

• Flow Traders does not accept unsolicited resumes from any professional staffing or search firms. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.