Compliance Officer

By | February 12, 2018

Website Vatic Labs

Vatic Labs is a quantitative trading firm. Our traders, AI researchers, and technologists collaborate to develop autonomous trading agents and cutting edge technology. The systems we build are designed to boost market efficiency and transparency. Our competitive advantage comes from how we think about markets, solve problems, and our commitment to recruiting and hiring researchers and engineers who can drive the evolution of high frequency trading.

Founded in 2013, Vatic Labs is committed to building a trading firm grounded in cutting-edge machine learning and artificial intelligence research. Our founder and CEO, James Chiu, has always been a leading figure in the automated trading space.

With the continued growth and evolution of our firm, we are seeking a Compliance Officer to help us navigate the global regulatory environment.

Job Description:

  • Review, maintain, and update regulatory filings, including those filed with all current and future regulators.
  • Develop, maintain, and update compliance policies and procedures. Conduct employee training with respect to the compliance program.
  • Coordinates regulatory and internal audits and assists regulators, auditors and business unit management with regulatory exams and inquiries.
  • Design and conduct transactional and forensic testing of the policies and procedures, including the Annual Compliance Review and participation in the drafting of the report to management regarding the same.
  • Conduct risk assessments and recommend risk mitigation techniques and controls.
  • Ensure maintenance of compliance and corporate files as required by applicable law.
  • Conduct review of marketing materials and investor communications to ensure compliance with applicable law.
  • Conduct appropriate surveillance of business activities, including a review of investment allocations and monitoring of investment guidelines and restrictions.
  • Interact with various departments within the organization to ensure consistency in policies and procedures.
  • Monitor legal and regulatory developments and update policies and procedures accordingly.
  • Participate in special projects, as necessary.
  • A successful candidate will ideally possess the following qualifications and attributes:

Requirements:

  • JD (preferable), Masters degree required
  • Demonstrated understanding of Electronic/Quantitative/High Frequency Trading
  • Experience in a compliance function for CFTC, NFA, and SEC regulated entities
  • Ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk.
  • Possess a high moral character and professional integrity.
  • Excellent written, oral, and presentation skills.
  • Meticulous attention to detail and highly accurate.
  • A self-starter that enjoys a team-oriented approach.
  • Strong relationship management skills, interpersonal leadership skills, and proven experience in working with senior management.
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