Compliance Officer

Flow Traders is looking for a Compliance Officer to join our Compliance team in New York. The ideal candidate is self-motivated with a strong analytical and problem-solving mentality. This is a unique opportunity to join 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.

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