Virtu is a leading financial firm that leverages cutting edge technology to deliver liquidity to the global markets and innovative, transparent trading solutions to our clients. As a market maker, Virtu provides deep 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 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, conduct surveillances, investigate issues and develop sustainable corrective actions. A successful candidate will be a person who identifies issues and creates solutions without rigid direction or fanfare. 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 perform surveillance and supervisory reviews across multiple subject matters.
- Coordinate and work with our inquiry team on related inquiries.
- Drive compliance innovation initiatives with a focus on greater automation, increased efficiency, and trend analysis.
Experience & Qualifications
- Bachelor’s Degree or Commensurate Experience preferred however will consider other relevant experience.
- 2-6 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.
- Familiarity with equities, options, fixed income, currency, commodities, futures, fx, swaps, forwards, crypto currencies.
- 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.
- Familiarity with common industry surveillance and e-communications platforms.
- Trading and back office experience 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.
