Company Summary:

TradingScreen, the leading global provider of multi-broker, multi-asset trading systems to the buy-side, is accelerating the technical evolution of the financial markets by providing a fully integrated, customer-oriented trading service platform to institutional investors. The proprietary TradingScreen platform links institutional investors and sell-side firms together to facilitate order routing, algorithmic trading, execution management, clearing, and additional value-added services, such as pre-trade analysis, real straight-through-processing, post-trade analysis, and prime brokerage enabling across all asset classes. TradingScreen provides global coverage from offices in New York, Chicago, London, Paris, Madrid, Geneva, Sao Paulo, Hong Kong, Singapore and Tokyo.

Position Summary:

The candidate will have the opportunity to work closely with leaders in trading, technology and market structure at a fast-paced, dynamic company. Management structure is flat as all our people are motivated by the excitement of being at the forefront of the electronic trading world. The compliance officer is expected to be knowledgeable regarding federal (e.g. SEC), state, and SRO (e.g. NASDAQ or NYSE) rules and laws.

The candidate should understand the compliance requirements of broker-dealers and how to develop and implement an effective compliance program that will accomplish several objectives:

• Maintain and develop effective compliance policies and procedures to prevent violations of rules or laws in effect by federal or state agencies and SROs
• Perform surveillance reviews to detect compliance issues as they occur
• Enforce actions that immediately correct compliance issues
 

Responsibilities Include:
• Being responsible for the development and enforcement of appropriate policies and procedures of the firm
• Acting as primary compliance contact and liaison with regulatory agencies
• Providing advice and counsel regarding compliance issues and questions identified by business people at the Company
• Performing the required periodic or annual review of the Company compliance program and making reports to senior management
• Staying current on regulatory and compliance matters and modifying existing policies and procedures in order for the Company to remain compliant with the relevant rules and laws
• Ensuring that staff of the Company is appropriately trained in compliance related matters, including establishing a comprehensive continuing education and monitoring program to ensure the Company licensed personnel comply with the Company’s firm element requirements