Compliance Officer

Da Vinci•Miami, FL

About The Position

Da Vinci is a unique proprietary trading firm specializing in market making, volatility trading and arbitrage across major global exchanges. Leveraging cutting-edge, in-house developed strategies, we identify market opportunities while providing liquidity and enhancing market efficiency. As a Compliance Officer in our Miami office, you will play a key role in supporting the firm’s U.S. proprietary broker-dealer and trading operations. You will work closely with Trading, Legal, Risk, Finance, and Technology teams to ensure the firm operates in full compliance with FINRA, SEC, and U.S. exchange rules in a fast-paced, high-frequency trading environment. Da Vinci offers a dynamic work environment, where employees are given the freedom to come up with great ideas and the space to push these to completion. This is a once-in-a-lifetime opportunity to be part of a successful and fast-growing company.

Requirements

3–7 years of experience in a compliance role within a financial services firm, proprietary trading firm, or exchange
Strong working knowledge of FINRA, SEC, and U.S. exchange rules (e.g., Nasdaq, NYSE, Cboe)
Proven experience drafting, reviewing, and maintaining internal policies and WSPs
Working knowledge of electronic trading and market structure, including equities and index options
Experience with trade surveillance, alerts, and regulatory inquiries related to market conduct
Strong analytical, research, and problem-solving skills
Excellent verbal and written communication skills, with the ability to explain complex regulatory topics clearly
Ability to work independently while collaborating across multiple departments and geographies
Bachelor’s degree required

Nice To Haves

FINRA licenses (Series 14, Series 24 and Series 7) preferred but not required

Responsibilities

Provide day-to-day compliance guidance and regulatory interpretations to trading and business teams
Develop, perform, and review trade surveillance and compliance monitoring reports for electronic trading activity
Draft, maintain, and enhance compliance policies, procedures, and Written Supervisory Procedures (WSPs)
Assist with regulatory examinations, audits, and responses to FINRA, SEC, and U.S. exchange inquiries
Identify, assess, and help mitigate compliance risks related to proprietary broker-dealer activities and operations
Monitor regulatory developments and translate new rules into practical guidance for internal stakeholders
Design and deliver compliance training for broker-dealer employees
Collaborate with Risk, Finance, Mid-Office, and Technology teams on cross-functional initiatives and control enhancements

Benefits

Opportunity to work alongside experienced professionals in electronic trading and market making
Base salary starting at $150,000 USD, commensurate with experience
Attractive variable compensation based on individual and company performance
Equity participation for outstanding performance
Comprehensive relocation package, including temporary housing and moving cost coverage
Possibility to visit Amsterdam to collaborate with global colleagues
Comprehensive benefits package, including medical, dental, and vision coverage
25 days of paid vacation annually
Meals provided during work hours
Regular social events and after-work gatherings