Chief Compliance Officer

A proprietary trading firm specialized in electronic option market making is seeking a Chief Compliance Officer to lead and oversee all compliance operations. The firm is focused on scaling and automating trading strategies with a diverse team of traders, developers, and researchers. The culture emphasizes data‑driven decision‑making, innovative problem‑solving, continuous learning, transparency, and collaboration.

What you’ll do

• Oversee trading activity to ensure compliance with federal securities laws, FINRA regulations, and internal risk policies.
• Serve as a trusted compliance partner to internal teams by offering regulatory guidance and interpreting relevant laws, rules, and exchange requirements.
• Draft, review, and implement internal compliance policies, with a strong focus on those governing trading activity.
• Conduct ongoing reviews of trading patterns and prepare reports highlighting compliance concerns or emerging risks.
• Cultivate productive relationships with regulatory bodies and other external stakeholders.

Qualifications and skills

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