3 to 5+ years of experience in trade surveillance, preferably at a large broker/dealer, FCM, or SRO. - 2+ years of management experience. - Solid academic background, with preference for a bachelor's degree in Finance, Business Administration, Economics, Math, or Computer Science. - Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment. - Ability to work in a small-team environment, work independently, and multitask with minimal supervision. - High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions. - Outstanding leadership, communication, analytical, and project management skills. - Willingness and ability to obtain financial registration exams promptly
Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24, is highly preferred.
To be successful in this position, you will have the following:
Self-motivated and able to handle tasks with minimal supervision. - Superb analytical and problem-solving skills. - Excellent collaboration and communication (Verbal and written) skills. - Outstanding organizational and time management skills. #### Company Benefits & Perks
Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401(k) with competitive company match
Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium. - Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
Daily company lunch allowance provided and a fully stocked kitchen with healthy options for breakfast and snack
Corporate events including team outings, dinners, volunteer activities and company sports teams
Education reimbursement and learning opportunities
This role's anticipated base salary range is $100,000 to $110,000 annually based on skill's and experience. The offered salary is just part of the total compensation package. In addition to a competitive salary, the company offers both a discretionary cash bonus and stock award as well as a wide range of benefits, including health care, tuition reimbursement and much more
