Compliance Officer
$100k - $175k USD
Virtu is a leading financial firm that leverages cutting edge technology to deliver deep liquidity to the global markets and innovative, transparent trading solutions to our clients. As a market maker, Virtu provides liquidity that helps to create more efficient markets around the world. Our market structure expertise, broad diversification, and execution technology enables us to provide competitive bids and offers in over 19,000 securities, at over 235 venues, in 36 countries worldwide.
The Virtu Legal and Compliance team is looking for an experienced, self-driven Compliance Officer to join the team. The Compliance Officer will play an important role in shaping Virtu's Compliance function through innovation, analytical thinking and a desire to improve upon existing processes. This role will require the ability to interact with trading, technology, and onboarding teams to implement and enforce policies procedures, especially those focused on Virtu’s AML program. The ideal candidate for this position will also have an interest and ability to work across several Compliance areas, manage multiple deadlines, and interact with internal and external stakeholders.
The Compliance Officer works closely with business functions to provide advice, investigate issues and develop sustainable corrective actions. A successful candidate will be a person who identifies issues and seeks to find solutions in a collaborative manner. The candidate will be a highly motivated and tenacious individual, with a proven ability to take initiative, working both independently and within a team.
Responsibilities
- Develop and implement policies and procedures across a variety of business units.
- Coordinate with our global legal and compliance team to work on global initiatives, especially those relating to AML monitoring and reporting.
- Drive compliance innovation initiatives with a focus on greater automation, increased efficiency, and trend analysis.
- Coordinate with trading teams, technology, and other relevant stakeholders across the organization to escalate and remediate issues identified through the course of reviews.
Experience & Qualifications
- Bachelor’s Degree or Commensurate Experience preferred however will consider other relevant experience.
- 3-7 years of experience with a financial services firm, Fin-Tech, regulator or commensurate experience.
- Strong working knowledge of broker-dealer regulation, including securities and commodities laws and SEC, CFTC, and SRO Rules.
- Experience analyzing trading activity across a variety of asset classes, such as equities, options, fixed income, currency, commodities, futures, fx, swaps, forwards, and cryptocurrencies.
- Experience conducting AML reviews and investigations.
- Strong communication and interpersonal skills.
- Self-starter and team player who is comfortable working in a fast-paced environment and a relatively flat organization.
- Familiarity with SQL, python, or similar query and scripting languages is a plus, but not required.
- CAMS certification considered a plus
**These qualifications are meant as a guideline and aren’t minimum qualifications. We would love to hear from you regardless of whether you have all the experiences listed!**
Salary Range: $100,000 - $175,000 (salary range is exclusive of bonuses, benefits or other categories of compensation)
Virtu Financial is an equal opportunity employer, committed to a diverse and inclusive workplace, welcoming you for who you are and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status.