Compliance Officer (Fintech)

TL;DR

Compliance Officer (Fintech): Managing KYC/AML programs and employee compliance obligations with an accent on counterparty onboarding and alert investigation. Focus on strengthening regulatory policies, managing risk across personal trading and sanctions, and ensuring systemic adherence to exchange registrations.

Location: New York, USA

Salary: $95,000 – $130,000 base plus annual discretionary variable remuneration

Company

A leading proprietary trading firm with an entrepreneurial and innovative culture.

What you will do

• Manage the end-to-end institutional counterparty onboarding process and conduct periodic KYC/AML updates.
• Investigate compliance alerts related to personal trading, sanctions, negative news, and electronic communications.
• Administer the employee compliance program, including onboarding/terminations, outside business activities, and political contributions.
• Manage user access for third-party trading, clearing, and compliance platforms.
• Support the Chief Compliance Officer (CCO) in implementing Written Supervisory Procedures and global compliance initiatives.

Requirements

• At least 3 years of relevant experience in AML/KYC and/or broker-dealer compliance.
• Undergraduate degree in Finance, Economics, or Business.
• Strong writing skills for creating clear, well-organized case notes and documentation.
• Excellent organizational skills and high attention to detail.
• Must be based in New York.

Nice to have

• Familiarity with World-Check One, ACA ComplianceAlpha, Salesforce, Smarsh, Bloomberg Vault, or Microsoft Purview.
• Proficiency in Python and/or SQL.

Culture & Benefits

• Entrepreneurial environment that values creative minds and quick thinking.
• Annual discretionary variable remuneration based on company, group, and individual performance.
• Commitment to open and transparent communication.