Flow Traders
The Role
The Pre-Trade Compliance Officer monitors, assesses and reports with respect to compliance of rules and regulations from governments, regulators and exchanges. In this position you assist, together with our Group Trading Compliance Officer, in improving our internal procedures and monitoring tooling. In addition, you promote and ensure compliance with the rules and regulations of relevant trading venues and regulators in close cooperation with local management, Risk, Mid-Office and Compliance. You act as the primary liaison while overseeing market conduct, investigations, inquiries and audits, order/trade reporting and enforcement of compliance.
Responsibilities
- Ensure that Flow Traders abides by global and local regulations and policies including monitoring trading behaviour and reporting obligations;
- Ensure Flow Traders complies with several order/trade reporting obligations (MiFID I/II, EMIR, OATS) from several regulators such as AFM and SEC;
- Monitor market conduct / market making obligations / correctness of order flagging
- Develop new Risk Management / Compliance tools (in cooperation with Risk and Development)
- Collect relevant information / data for investigations, inquiries and audits, both internal and external (regulators, exchanges)
- Advise on and implement current and new trading rules & regulations (i.e. on flagging and tagging of orders, on proper market conduct), and timely / consistently documenting these on our intranet;
- Document/archive/evidence compliance procedures / processes;
- Provide management information of compliance incidents.
- Testing in-house built software;
- Minimum of 2 years relevant working experience;
- Degree in Economics, Business, Audit or similar;
- High-level knowledge of Excel and/or SQL;
- Of unquestionable integrity;
- Excellent attention to detail, communication skills and interpersonal skills;
- Proven affinity with financial markets;
- Good understanding of financial products;
- Sufficiently assertive; open and fun to work with;
- Proven analytical skills and the ability to assess complex situations quickly without being affected by (time) pressure.
- Experience with Operational Risk Management processes a plus;
- Fluent English Communication skills other languages are a plus.
The company
Flow Traders is a principal trading firm. We are a leading global technology-enabled liquidity provider specialised in Exchange Traded Products (ETPs). We continuously provide liquidity to the major financial markets. Our sophisticated in-house technology platform enables us to quote prices on many exchanges simultaneously. We also quote bid and ask prices off-exchange to institutional counterparties on request. Robust risk management is at the core of our business, and our risk functions are closely integrated into our platform. Our headquarters in Amsterdam and offices in New York, Singapore and Cluj, accommodate over 250 employees.
Flow Traders grew to be as successful as we are today out of the expertise and experience of our founding partners. Our non-hierarchical approach stimulates innovation and achievement. We invest in our talented, highly motivated people since they hold the key to our success. Our demanding, sophisticated work continuously puts us to the test. We wouldn't have it any other way. We. Love. This. Job.
Flow Traders offers you an exciting job and lots of opportunities within the most dynamic of environments with an excellent compensation package. We like to think that talent grows at Flow and stays at Flow. To ensure this, we provide our employees with the best working environment, the latest technology, continuous support, and we go out of our way to retain the small business feeling with which we started. We offer a competitive salary and reserve a percentage of our business results for our bonus pool.