Anonymous

Compensation

Full Description

A leading trading firm is seeking a Compliance Officer to join its advisory team. You’ll work closely with the CCO on code of ethics, personal trading surveillance, regulatory filings, and broker-dealer oversight. This role offers the chance to serve as a trusted advisor, providing clear guidance in a fast-paced, high-integrity environment. Role: • Manage employee disclosures on personal trading, outside business activities, gifts, and potential conflicts. • Advise employees and senior leadership on ethics and compliance issues. • Oversee personal trading surveillance and enforce Code of Ethics standards. • Support regulatory filings (Form ADV, U4/U5, BD, NRF) and handle securities registrations. • Conduct communications surveillance and assist with supervisory reviews and training. • Serve as a key contact during regulatory exams, coordinating responses and tracking requests. Profile: • Bachelor’s degree (finance, law, or related field a plus) • 3–7 years’ experience in compliance, legal, or regulatory roles (broker-dealer, investment adviser, trading firm, etc.) • Strong grasp of SEC/FINRA rules, especially personal trading and conduct requirements • Sharp communicator with keen attention to detail and a team-oriented, service-driven mindset For a discussion in confidence, please apply with your resume.