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Compliance Officer

Flow Traders
🇺🇸New YorkMediorFull-time$95k–$130kPosted July 28, 2026

About the Role

Flow Traders is seeking a Compliance Officer to join its Compliance team, playing a central role in the firm's Know Your Customer (KYC) / Anti-Money Laundering (AML) program and employee compliance initiatives. This role involves reviewing and onboarding institutional counterparties, investigating compliance alerts across personal trading, sanctions, electronic communications, and exchange registrations, and supporting the full lifecycle of employee compliance obligations. The position offers broad exposure across the compliance function, close collaboration with the Chief Compliance Officer, and the opportunity to help shape policies and procedures as the firm grows.

  • Collect, review, and document new institutional counterparty onboardings and periodic updates
  • Review and investigate compliance alerts across personal trading, sanctions/negative news, electronic communications, and exchange registrations
  • Manage employee access to third-party trading, clearing, and compliance platforms
  • Support the employee compliance program including onboardings, terminations, personal trading, outside business activities, and continuing education
  • Assist with implementation of Written Supervisory Procedures and promote compliance culture
  • Support the CCO with day-to-day functions and global compliance initiatives

Requirements

  • At least three years of relevant experience in AML/KYC and/or broker-dealer compliance strongly preferred
  • Undergraduate degree in Finance, Economics, or Business
  • Mature, professional, and of unquestionable integrity, exercising excellent judgment when handling sensitive information
  • Strong writing skills, with the ability to translate facts and analysis into clear, well-organized case notes and alert documentation
  • Strong organizational skills with high attention to detail
  • Process-based approach to problem-solving, with the ability to develop informed and concrete proposals
  • Motivated self-starter who can manage competing priorities and thrive in a fast-paced environment
  • Familiarity with third-party vendors such as World-Check One, ACA ComplianceAlpha, Salesforce, Smarsh, Bloomberg Vault, and Microsoft Purview, a plus
  • Proficiency in Python and/or SQL, a plus

What You'll Get

  • $95k–$130k base salary