Senior Compliance Officer

Advisory compliance — primary owner, all regions

• Real-time trading guidance across all asset classes and venues
• Building and maintaining a pre-cleared rules framework for recurring desk queries
• Advising development, trading, and operations teams on building and maintaining compliant tools and processes
• Building out a comprehensive algo trading governance framework covering the full lifecycle — pre-deployment approvals, ongoing monitoring, change management, business continuity, information security, and annual review
• New market and product approvals

Core compliance — oversee two Compliance Officers responsible for:

• Trade surveillance across all venues
• Regulatory and exchange affairs — filings, registrations, regulator and exchange inquiries, client/due-diligence reviews, FCM interface
• Policies and training — maintaining the policy framework and...

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